revision n° 13icao safety management systems (sms) course06/05/09 module n° 8 – sms planning
Post on 27-Mar-2015
234 Views
Preview:
TRANSCRIPT
Revision N° 13 ICAO Safety Management Systems (SMS) Course 06/05/09
Module N° 8 – SMS planning
Module N° 8 ICAO Safety Management Systems (SMS) Course 2
Course structure
Module 1SMS course introduction
Module 2Basic safety
concepts
Module 3 Introduction
to safety management
Module 4Hazards
Module 5Risks
Module 6SMS regulation
Module 7Introduction to SMS
Module 8SMS planning
Module 9SMS operation
Module 10Phased approach to
SSP and SMS Implementation
SafetyManagementSystem
Module 6SMS regulation
Module 7Introduction to SMS
Module 8SMS planning
Module 9SMS operation
Module 10Phased approach to
SSP and SMS Implementation
Module N° 8 ICAO Safety Management Systems (SMS) Course 3
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 4
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 5
The components of SMS
Safety policy and objectives
Safety risk management
Safety assurance
Safety promotion
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
1.3 – Appointment of key safety personnel
1.4 – Coordination of emergency response planning
1.5 – SMS documentationSafety risk management
2.1 – Hazard identification
2.2 – Risk assessment and mitigation
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 – 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 8
ICAO SMS framework
Safety policy and objectives1.1 – Management commitment and responsibility1.2 – Safety accountabilities1.3 – Appointment of key safety personnel 1.4 – Coordination of emergency response planning 1.5 – SMS documentation
Safety risk management2.1 – Hazard identification2.2 – Risk assessment and mitigation
Safety assurance3.1 – Safety performance monitoring and measurement3.2 – The management of change3.3 – Continuous improvement of the SMS
Safety promotion4.1 – Training and education4.2 – Safety communication
Module N° 8 ICAO Safety Management Systems (SMS) Course 9
Safety policy and objectives
1.1 – Management commitment and responsibilityThe 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 10
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) Clearly indicate which types of operational behaviours are unacceptable;
8) Include the conditions under which exemptions from disciplinary action would be applicable; ...
Module N° 8 ICAO Safety Management Systems (SMS) Course 11
Safety policy and objectives
1.1 – Management commitment and responsibility
... safety policy of the organization shall (cont’d):
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 ICAO Safety Management Systems (SMS) Course 12
ICAO SMS framework
Safety policy and objectives1.1 – Management commitment and responsibility1.2 – Safety accountabilities1.3 – Appointment of key safety personnel 1.4 – Coordination of emergency response planning 1.5 – SMS documentation
Safety risk management2.1 – Hazard identification2.2 – Risk assessment and mitigation
Safety assurance3.1 – Safety performance monitoring and measurement3.2 – The management of change3.3 – Continuous improvement of the SMS
Safety promotion4.1 – Training and education4.2 – Safety communication
Module N° 8 ICAO Safety Management Systems (SMS) Course 13
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 14
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 15
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 authority over operations under certificate
final responsibility for all safety issues
Module N° 8 ICAO Safety Management Systems (SMS) Course 16
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 17
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 18
Safety responsibilities – An example
Safety Services Office
Safety Review
Board (SRB)
Safety Action
Group(s) (SAG)
Operationssafety officer
Maintenance safety officer
Module N° 8 ICAO Safety Management Systems (SMS) Course 19
ICAO SMS framework
Safety policy and objectives1.1 – Management commitment and responsibility1.2 – Safety accountabilities1.3 – Appointment of key safety personnel 1.4 – Coordination of emergency response planning 1.5 – SMS documentation
Safety risk management2.1 – Hazard identification2.2 – Risk assessment and mitigation
Safety assurance3.1 – Safety performance monitoring and measurement3.2 – The management of change3.3 – Continuous improvement of the SMS
Safety promotion4.1 – Training and education4.2 – Safety communication
Module N° 8 ICAO Safety Management Systems (SMS) Course 20
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 21
Safety responsibilities
Safety Services Office
Safety Review
Board (SRB)
Safety Action
Group(s) (SAG)
Operationssafety officer
Maintenance safety officer
Module N° 8 ICAO Safety Management Systems (SMS) Course 22
Safety policy and objectives
1.3 – Appointment of key safety personnel
The Safety services office – Corporate functions
Advising senior management on safety matters
Assisting line managers
Overseeing hazard identification systems
Module N° 8 ICAO Safety Management Systems (SMS) Course 23
Safety policy and objectives
1.3 – Appointment of key safety personnelThe 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 documentationPlans and organizes staff safety trainingProvides independent advice on safety matters
Module N° 8 ICAO Safety Management Systems (SMS) Course 24
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 skillsAnalytical and problem-solving skillsProject management skillsOral and written communications skills
Module N° 8 ICAO Safety Management Systems (SMS) Course 25
Safety Services Office
Safety Review
Board (SRB)
Safety Action
Group(s) (SAG)
Operationssafety officer
Maintenance safety officer
Safety responsibilities
Module N° 8 ICAO Safety Management Systems (SMS) Course 26
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 27
Safety policy and objectives
1.3 – Appointment of key safety personnelSRB monitors:
safety performance against the safety policy and objectives
effectiveness of the SMS implementation planeffectiveness of the safety supervision of sub-contracted
operationsSRB ensures that appropriate resources are allocated to
achieve the established safety performanceSRB gives strategic direction to the SAG
Module N° 8 ICAO Safety Management Systems (SMS) Course 28
Safety Services Office
Safety Review
Board (SRB)
Safety Action
Group(s) (SAG)
Operationssafety officer
Maintenance safety officer
Safety responsibilities
Module N° 8 ICAO Safety Management Systems (SMS) Course 29
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 30
Safety policy and objectives
1.3 – Appointment of key safety personnelSAG:
Oversees operational safety within the functional areaResolves identified risksAssesses the impact on safety of operational changes.Implements corrective action plansEnsures that corrective action is taken in a timely mannerReview the effectiveness of previous safety
recommendationsSafety promotion
Module N° 8 ICAO Safety Management Systems (SMS) Course 31
ICAO SMS framework
Safety policy and objectives1.1 – Management commitment and responsibility1.2 – Safety accountabilities1.3 – Appointment of key safety personnel 1.4 – Coordination of emergency response planning 1.5 – SMS documentation
Safety risk management2.1 – Hazard identification2.2 – Risk assessment and mitigation
Safety assurance3.1 – Safety performance monitoring and measurement3.2 – The management of change3.3 – Continuous improvement of the SMS
Safety promotion4.1 – Training and education4.2 – Safety communication
Module N° 8 ICAO Safety Management Systems (SMS) Course 32
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 33
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 34
ICAO SMS framework
Safety policy and objectives1.1 – Management commitment and responsibility1.2 – Safety accountabilities1.3 – Appointment of key safety personnel 1.4 – Coordination of emergency response planning 1.5 – SMS documentation
Safety risk management2.1 – Hazard identification2.2 – Risk assessment and mitigation
Safety assurance3.1 – Safety performance monitoring and measurement3.2 – The management of change3.3 – Continuous improvement of the SMS
Safety promotion4.1 – Training and education4.2 – Safety communication
Module N° 8 ICAO Safety Management Systems (SMS) Course 35
Safety policy and objectives
1.5 – SMS documentation
The organization shall develop and maintain SMS documentation to describe:the safety policy and objectivesthe SMS requirementsthe SMS processes and proceduresthe accountabilities, responsibilities and authorities for
processes and proceduresthe SMS outputs
Module N° 8 ICAO Safety Management Systems (SMS) Course 36
Safety policy and objectives
1.5 – SMS documentationAs 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 37
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 38
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 39
Safety policy and objectives
1.5.1 – SMS implementation plan – Contents 1) Safety policy and objectives2) System description3) Gap analysis4) SMS components 5) Safety roles and responsibilities 6) Safety reporting policy 7) Means of employee involvement8) Safety performance measurement9) Safety training10) Safety communication11) Management review (of safety performance)
Module N° 8 ICAO Safety Management Systems (SMS) Course 40
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 41
Safety policy and objectives
1.5.2 – SMSM contents1. Scope of the safety
management system 2. The safety policy and
objectives3. Safety accountabilities4. Key safety personnel5. Documentation control
procedures6. Coordination of the
emergency response planning
7. Hazard identification and risk management schemes
8. Safety assurance9. Safety performance
monitoring10. Safety auditing11. Management of change12. Safety promotion13. Contracted activities
Module N° 8 ICAO Safety Management Systems (SMS) Course 42
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 43
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 44
Questions and answersSMS planning
Module N° 8 ICAO Safety Management Systems (SMS) Course 45
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 issuesauthority for major financial issuesdirect responsibility for the conduct of the organization’s
affairsfinal authority over operations under certificatefinal responsibility for all safety issues
Slide number: 15
Module N° 8 ICAO Safety Management Systems (SMS) Course 46
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 skillsAnalytical and problem-solving skillsProject management skillsOral and written communications skills
Slide number: 24
Module N° 8 ICAO Safety Management Systems (SMS) Course 47
Questions and answersQ: 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 48
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 49
Exercise 08/01 – Cuzco International Airport operation (Handout N° 5)
SMS planning
Module N° 8 ICAO Safety Management Systems (SMS) Course 50
Cuzco International Airport operation
Group activity: A facilitator will be appointed, who will coordinate the
discussionA 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
ScenarioThis 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 51
Velazco Astete AirportElevation 10.656 ft
+ 15.000 ft
+ 15.000 ft
+ 15.000 ft
+ 15.000 ft
+ 15.000 ft
Hazard assessment of the operation. Control and/or mitigation of the risks
Cuzco International Airport operation
Module N° 8 ICAO Safety Management Systems (SMS) Course 52
Threshold 28
Velazco Astete AirportElevation 10.656 ft
Cuzco International Airport operation
Module N° 8 ICAO Safety Management Systems (SMS) Course 53
+ 16.000 ft
City of Cuzco
Threshold 28
Threshold 10
Velazco Astete AirportElevation 10.656 ft
Cuzco International Airport operation
Module N° 8 ICAO Safety Management Systems (SMS) Course 54
Threshold 28
Threshold 10 + 16.000 ft
Cuzco International Airport operation
Module N° 8 ICAO Safety Management Systems (SMS) Course 55
Threshold 10
Threshold 28
+ 16.000 ft
Velazco Astete Airport
City of Cuzco
Cuzco International Airport operation
Module N° 8 ICAO Safety Management Systems (SMS) Course 56
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 57
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 58
Cuzco Airport characteristics and operation
Module N° 8 ICAO Safety Management Systems (SMS) Course 59
What is the safety concern?
Issues to be considered:Aerodrome infrastructureNavigational radio aidsWeather conditionsAircraft performanceTake-off obstacle clearance
net pathEn-route obstacle clearance
net path (trajectory)
In-flight procedures
Documentation
Training:
Pilots and cabin crew
Flight dispatchers
Safety ground crew
Module N° 8 ICAO Safety Management Systems (SMS) Course 60
Your task:List the type of operation or activityState 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 indexPropose further action to reduce the risk(s) and resulting
risk indexEstablish individual responsibility to implement the risk
mitigationComplete the attached log (Table 08/01)
Cuzco International Airport operation
Module N° 8 ICAO Safety Management Systems (SMS) Course 61
Table 08/01 – Hazard identification and risk management
Existing defencesto control risk(s)
and risk index
Further action to reduce risk(s) and
resulting risk index
Generic hazard
Type of operationor activity
Nº
1
2
3
4
5
Hazard-related consequences
Risk index:Risk tolerability:
Risk index:Risk tolerability:
Risk index:Risk tolerability:
Risk index:Risk tolerability:
Risk index:Risk tolerability:
Risk index:Risk tolerability:
Risk index:Risk tolerability:
Risk index:Risk tolerability:
Risk index:Risk tolerability:
Risk index:Risk tolerability:
Specificcomponents of the hazard
Responsible person
Revision N° 13 ICAO Safety Management Systems (SMS) Course 06/05/09
Module N° 8 – SMS planning
top related