module n° 7 – introduction to sms safety management systems (sms) course

Module NModule N° 7 – ° 7 – Introduction to SMSIntroduction to SMS

Safety Management Systems (SMS) CourseSafety Management Systems (SMS) Course

Module NModule N° 7° 7 ICAO Safety Management Systems (SMS) Course 2

Building an SMS

Module 6SMS regulation

Module 7Introduction to SMS

Module 8SMS planning

Module 9SMS operation

Module10 Phased approach to SMS

implementation

Module 1SMS course introduction

Module 2Basic safety concepts

Module 3Introduction to safety

management

Module 4Hazards

Module 5Risks

Module 6SMS regulation

Module 7Introduction to SMS

Module 8SMS planning

Module 9SMS operation

Module10 Phased approach to SMS

implementation

SafetySafety

ManagementManagement

SystemSystem


Objective

At the end of this module, participants will be able to At the end of this module, participants will be able to

describe the describe the features of an SMSfeatures of an SMS

explain the importance of explain the importance of

system description and gap analysissystem description and gap analysis

and theand the

relationship between SMS and QMSrelationship between SMS and QMS..

At the end of this module, participants will be able to At the end of this module, participants will be able to

describe the describe the features of an SMSfeatures of an SMS

explain the importance of explain the importance of

system description and gap analysissystem description and gap analysis

and theand the

relationship between SMS and QMSrelationship between SMS and QMS..


Outline

ICAO requirementsICAO requirementsSMS – Introductory conceptsSMS – Introductory concepts SMS featuresSMS features First fundamental – System descriptionFirst fundamental – System descriptionSecond fundamental – Gap analysisSecond fundamental – Gap analysis Third fundamental – SMS and QMSThird fundamental – SMS and QMSClarifying termsClarifying termsQuestions and answersQuestions and answersPoints to remember Points to remember

ICAO requirementsICAO requirementsSMS – Introductory conceptsSMS – Introductory concepts SMS featuresSMS features First fundamental – System descriptionFirst fundamental – System descriptionSecond fundamental – Gap analysisSecond fundamental – Gap analysis Third fundamental – SMS and QMSThird fundamental – SMS and QMSClarifying termsClarifying termsQuestions and answersQuestions and answersPoints to remember Points to remember


ICAO requirementsICAO requirements

Compliance with all relevant Compliance with all relevant regulations and ICAO regulations and ICAO standards, other than those standards, other than those SMS-related, is a key SMS-related, is a key component of an SMS. component of an SMS.

Many of these regulations and Many of these regulations and standards, including the standards, including the operational provisions, will operational provisions, will form part of the SMS.form part of the SMS.

Compliance with all relevant Compliance with all relevant regulations and ICAO regulations and ICAO standards, other than those standards, other than those SMS-related, is a key SMS-related, is a key component of an SMS. component of an SMS.

Many of these regulations and Many of these regulations and standards, including the standards, including the operational provisions, will operational provisions, will form part of the SMS.form part of the SMS.


SMS – Introductory concepts

A toolkitA toolkit

TheThe scopescope of SMS encompasses most of the of SMS encompasses most of the activities of the organization.activities of the organization.

SMS must start fromSMS must start from senior managementsenior management, and safety and safety must be considered atmust be considered at all levels of the organizationall levels of the organization.

SMS aims to make continuous improvement to the overall level of safety.

All aviation stakeholders have a role to play in SMS.

A toolkitA toolkit

TheThe scopescope of SMS encompasses most of the of SMS encompasses most of the activities of the organization.activities of the organization.

SMS must start fromSMS must start from senior managementsenior management, and safety and safety must be considered atmust be considered at all levels of the organizationall levels of the organization.

SMS aims to make continuous improvement to the overall level of safety.

All aviation stakeholders have a role to play in SMS.


Identifying aviation system stakeholders

Aviation professionals Aviation professionals Aircraft owners and operatorsAircraft owners and operators Manufacturers Manufacturers Aviation regulatory authoritiesAviation regulatory authorities Industry trade associationsIndustry trade associations Regional air traffic service providersRegional air traffic service providers Professional associations and federations Professional associations and federations International aviation organizations International aviation organizations Investigative agencies Investigative agencies The flying publicThe flying public

Aviation professionals Aviation professionals Aircraft owners and operatorsAircraft owners and operators Manufacturers Manufacturers Aviation regulatory authoritiesAviation regulatory authorities Industry trade associationsIndustry trade associations Regional air traffic service providersRegional air traffic service providers Professional associations and federations Professional associations and federations International aviation organizations International aviation organizations Investigative agencies Investigative agencies The flying publicThe flying public


Identifying aviation system stakeholders

Why is it important to identify aviation system stakeholders?

To ensure that stake holders relevant to risk decision are taken into consideration and contribute with their knowledge before the decision is taken.

Why is it important to identify aviation system stakeholders?

To ensure that stake holders relevant to risk decision are taken into consideration and contribute with their knowledge before the decision is taken.


SMS features

SystematicSystematic – Safety management activities are in – Safety management activities are in accordance with a pre-determined plan, and applied in a accordance with a pre-determined plan, and applied in a consistent manner throughout the organization.consistent manner throughout the organization.

ProactiveProactive – An approach that emphasizes prevention, – An approach that emphasizes prevention, through hazards identification and risk control and through hazards identification and risk control and mitigation measures, before events that affect safety mitigation measures, before events that affect safety occur.occur.

ExplicitExplicit – All safety management activities are – All safety management activities are documented, visible and performed independently from documented, visible and performed independently from other management activities.other management activities.

SystematicSystematic – Safety management activities are in – Safety management activities are in accordance with a pre-determined plan, and applied in a accordance with a pre-determined plan, and applied in a consistent manner throughout the organization.consistent manner throughout the organization.

ProactiveProactive – An approach that emphasizes prevention, – An approach that emphasizes prevention, through hazards identification and risk control and through hazards identification and risk control and mitigation measures, before events that affect safety mitigation measures, before events that affect safety occur.occur.

ExplicitExplicit – All safety management activities are – All safety management activities are documented, visible and performed independently from documented, visible and performed independently from other management activities.other management activities.


First fundamental – System description

System descriptionSystem description

Most hazards are generated by operational Most hazards are generated by operational interactions among different system components. It interactions among different system components. It is therefore essential to describe the system in terms is therefore essential to describe the system in terms of its components as one of the first activities when of its components as one of the first activities when planning an SMS. planning an SMS.

System descriptionSystem description

Most hazards are generated by operational Most hazards are generated by operational interactions among different system components. It interactions among different system components. It is therefore essential to describe the system in terms is therefore essential to describe the system in terms of its components as one of the first activities when of its components as one of the first activities when planning an SMS. planning an SMS.


System description

1.1. The system interactions with other systems in the air The system interactions with other systems in the air transportation system.transportation system.

2.2. The system functions.The system functions.3.3. Required Human Factors considerations of the system Required Human Factors considerations of the system

operation.operation.4.4. Hardware components of the system.Hardware components of the system.5.5. Software components of the system.Software components of the system.6.6. Related procedures that define guidance for the Related procedures that define guidance for the

operation and use of the system.operation and use of the system.7.7. Operational environmentOperational environment8.8. Contracted and purchased products and services.Contracted and purchased products and services.

1.1. The system interactions with other systems in the air The system interactions with other systems in the air transportation system.transportation system.

2.2. The system functions.The system functions.3.3. Required Human Factors considerations of the system Required Human Factors considerations of the system

operation.operation.4.4. Hardware components of the system.Hardware components of the system.5.5. Software components of the system.Software components of the system.6.6. Related procedures that define guidance for the Related procedures that define guidance for the

operation and use of the system.operation and use of the system.7.7. Operational environmentOperational environment8.8. Contracted and purchased products and services.Contracted and purchased products and services.


Second fundamental – Gap analysis

An analysis of safety arrangements An analysis of safety arrangements existing within the organization.existing within the organization.

The organizational structures necessary for an SMS may be found throughout an organization.

Various activities of an SMS are probably already in place and are working.

SMS development should build upon existing organizational structures.

An analysis of safety arrangements An analysis of safety arrangements existing within the organization.existing within the organization.

The organizational structures necessary for an SMS may be found throughout an organization.

Various activities of an SMS are probably already in place and are working.

SMS development should build upon existing organizational structures.


Second fundamental – Gap analysis

Conduct the gap analysis against the components and elements of the SMS (Presented in Module 8).

Once completed and documented the gap analysis forms the basis of the SMS implementation plan.

Conduct the gap analysis against the components and elements of the SMS (Presented in Module 8).

Once completed and documented the gap analysis forms the basis of the SMS implementation plan.


Third fundamental – SMS and QMS

SMS differs from quality systems in that: SMS focuses on the safety,

human and organizational aspects of an operation (i.e., safety satisfactionsafety satisfaction)

QMS focus the product (s) of an operation (i.e., customer customer satisfactionsatisfaction)

SMS differs from quality systems in that: SMS focuses on the safety,

human and organizational aspects of an operation (i.e., safety satisfactionsafety satisfaction)

QMS focus the product (s) of an operation (i.e., customer customer satisfactionsatisfaction)


SMS and QMS

SMS results in the design and implementation of organizational processes and procedures to identify hazards and control/mitigate risks in aviation operation.

QMS techniques provide a structured process for ensuring that these processes and procedures achieve their intended objectives and, where they fall short, to improve them.

SMS results in the design and implementation of organizational processes and procedures to identify hazards and control/mitigate risks in aviation operation.

QMS techniques provide a structured process for ensuring that these processes and procedures achieve their intended objectives and, where they fall short, to improve them.


SMS and QMS – Striking a balance

SMS builds partly upon QMS principles.

SMS should include both safety and quality policies.

The coverage of quality policies should be limited to quality in support of safety.

Safety objectives should receive primacy where conflicts are identified.

SMS builds partly upon QMS principles.

SMS should include both safety and quality policies.

The coverage of quality policies should be limited to quality in support of safety.

Safety objectives should receive primacy where conflicts are identified.


Systems integration

There is a tendency in civil aviation to integrate the different systems of management:

Quality management system (QMS).

Environment management system (EMS).

Occupational health and safety management system (OHSMS).

Safety management system (SMS).

Security management system

There is a tendency in civil aviation to integrate the different systems of management:

Quality management system (QMS).

Environment management system (EMS).

Occupational health and safety management system (OHSMS).

Safety management system (SMS).

Security management system


Systems integration benefits

Reduce duplication and therefore costs.

Reduce risks and increase profitability.

Balance potentially conflicting objectives.

Eliminate potentially conflicting responsibilities and relationships.

Diffuse the power system.

Reduce duplication and therefore costs.

Reduce risks and increase profitability.

Balance potentially conflicting objectives.

Eliminate potentially conflicting responsibilities and relationships.

Diffuse the power system.


Systems integration considerations

There are different ways integrate a safety management system in the operation of the organization.

Aviation organizations should be encouraged to integrate their management system for quality, safety, security, occupational health and safety, and environmental protection management.

This integration, however, is presently beyond the scope of the harmonized ICAO safety management requirements and of this training course.

There are different ways integrate a safety management system in the operation of the organization.

Aviation organizations should be encouraged to integrate their management system for quality, safety, security, occupational health and safety, and environmental protection management.

This integration, however, is presently beyond the scope of the harmonized ICAO safety management requirements and of this training course.


Clarifying the use of terms

Safety Safety oversightoversight – Is what the CAA performs with regard to the operators/service providers SMS.

Safety Safety assuranceassurance – Is what the operators/service providers do with regard to safety performance monitoring and measurement

Safety audit – Is what the CAA performs with regard to its safety programme and the operators/service providers perform with regard to the SMS.

Safety Safety oversightoversight – Is what the CAA performs with regard to the operators/service providers SMS.

Safety Safety assuranceassurance – Is what the operators/service providers do with regard to safety performance monitoring and measurement

Safety audit – Is what the CAA performs with regard to its safety programme and the operators/service providers perform with regard to the SMS.


SMS – Nothing new?

Rounding up the usual suspects.Rounding up the usual suspects.

In aviation, safety is first.In aviation, safety is first.

Safety is everybody’s responsibility. Safety is everybody’s responsibility.

If ain’t broke, why fix it?If ain’t broke, why fix it?

If you believe safety is expensive, try an accident. If you believe safety is expensive, try an accident.

70% accidents are due to human error.70% accidents are due to human error.

SMS sets forth to destroy all these misperceptions.SMS sets forth to destroy all these misperceptions.

Rounding up the usual suspects.Rounding up the usual suspects.

In aviation, safety is first.In aviation, safety is first.

Safety is everybody’s responsibility. Safety is everybody’s responsibility.

If ain’t broke, why fix it?If ain’t broke, why fix it?

If you believe safety is expensive, try an accident. If you believe safety is expensive, try an accident.

70% accidents are due to human error.70% accidents are due to human error.

SMS sets forth to destroy all these misperceptions.SMS sets forth to destroy all these misperceptions.


In summary

SSafety – afety – The state in which the risk of harm to persons The state in which the risk of harm to persons

or property damage is reduced to, and maintained at or or property damage is reduced to, and maintained at or

below, an acceptable level through a continuing process below, an acceptable level through a continuing process

of hazard identification and risk management.of hazard identification and risk management.

MManagementanagement – Allocation of resources. – Allocation of resources.

SSystemystem – Organized set of processes and procedures. – Organized set of processes and procedures.

SSafety – afety – The state in which the risk of harm to persons The state in which the risk of harm to persons

or property damage is reduced to, and maintained at or or property damage is reduced to, and maintained at or

below, an acceptable level through a continuing process below, an acceptable level through a continuing process

of hazard identification and risk management.of hazard identification and risk management.

MManagementanagement – Allocation of resources. – Allocation of resources.

SSystemystem – Organized set of processes and procedures. – Organized set of processes and procedures.


Q&A

Q:Q: Why is it important to SMS development to involve

stakeholders?

A: ?A: ?

Q:Q: Why is it important to SMS development to involve

stakeholders?

A: ?A: ?

Slide number: 8


Q&A

Q:Q: One of the three main characteristic features of

SMS is that it is systematic. Explain? (9)

A: ?A: ?

Q:Q: One of the three main characteristic features of

SMS is that it is systematic. Explain? (9)

A: ?A: ?

Slide number:


Q&A

Q:Q: Explain the importance of gap analysis.(13)

A: ?A: ?

Q:Q: Explain the importance of gap analysis.(13)

A: ?A: ?

Slide number:


Q&A

Q:Q: Explain the difference between SMS and QMS.(15)A: ?A: ?

Q:Q: Explain the difference between SMS and QMS.(15)A: ?A: ?

Slide number:


Points to remember

1. SMS main features

2. The importance of system description

3. The importance of gap analysis

4. The relationship between SMS and QMS

Reference: Doc 9859, Chapter 12

1. SMS main features

2. The importance of system description

3. The importance of gap analysis

4. The relationship between SMS and QMS

Reference: Doc 9859, Chapter 12

Module NModule N° 7 – ° 7 – Introduction to SMSIntroduction to SMS

Safety Management Systems (SMS) CourseSafety Management Systems (SMS) Course

module n° 7 – introduction to sms safety management systems (sms) course

Documents

organization sms

fundamental sms

scope of sms

sms implementation module

sms course introduction

toolkit thescopeof sms

safety management module

module n