Safety Management SystemsSafety Management Systems(SMS) (SMS)

An Introduction for Senior An Introduction for Senior ManagementManagement

An Introduction to SMSAn Introduction to SMS

The objective of this presentation is to provide the Senior The objective of this presentation is to provide the Senior Management with :Management with : an overview of ICAO Standards and Recommended an overview of ICAO Standards and Recommended

Practices (SARPs) on safety management in Annexes Practices (SARPs) on safety management in Annexes 6, 11 and 14, and their underlying concepts, and6, 11 and 14, and their underlying concepts, and

a structured process for the implementation of a safety a structured process for the implementation of a safety programme and an SMS, as proposed by ICAO programme and an SMS, as proposed by ICAO

Session No. 1Session No. 1Basic ContemporaryBasic Contemporary

Safety ConceptsSafety Concepts

For StartersFor Starters The total elimination of risk is unachievable The total elimination of risk is unachievable Errors will occur, in spite of the most accomplished Errors will occur, in spite of the most accomplished

prevention effortsprevention efforts No human endeavour or human-made system can No human endeavour or human-made system can

be free from risk and error be free from risk and error ControlledControlled risk and error are risk and error are acceptableacceptable in an in an

inherently safe systeminherently safe system

Concept of safety (Doc 9859)Concept of safety (Doc 9859)

SafetySafety is the is the state state in which the risk of harm to persons 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 below, an acceptable level through a continuing processcontinuing process of of hazard identificationhazard identification and and risk managementrisk management

Safety Management System is an organized approach Safety Management System is an organized approach to managing safety, including the necessary to managing safety, including the necessary organizational structure, accountabilities, policies andorganizational structure, accountabilities, policies and proceduresprocedures

Focus on the outcome (s) Focus on the outcome (s) Unsafe acts at the tip of the arrowUnsafe acts at the tip of the arrowBlame & punishment for failure to “perform Blame & punishment for failure to “perform

safely”safely”Address specific safety concern exclusivelyAddress specific safety concern exclusively

Forensic Safety Management Forensic Safety Management

The Underlying ParadigmThe Underlying Paradigm

Rule-based – The world as itRule-based – The world as it should be should be Aviation system – as pre-specified – is perfectAviation system – as pre-specified – is perfect Compliance basedCompliance based Outcome orientedOutcome oriented

Accident investigationAccident investigation

Inefficiency and PerversityInefficiency and PerversityThe beatings will continue until morale improvesThe beatings will continue until morale improves

2. Punishment2. Punishment

3.3. RemedialRemedialTrainingTraining

4. Add more procedures & regulations

1. Exhortations to 1. Exhortations to professionalism professionalism and discipline and discipline

The evolution of safety thinkingThe evolution of safety thinking

TECHNICAL FACTORSTECHNICAL FACTORS

HUMAN FACTORSHUMAN FACTORS

ORGANIZATIONAL ORGANIZATIONAL FACTORS FACTORS

TOD

AY

TOD

AY

1950s1950s 1970s1970s 1990s1990s 2000s2000s

A concept of accident causationA concept of accident causation

Regulations

RegulationsTrainingTrainingTechnology

Technology

DefencesDefences AccidentAccident

Source: James Reason

Latent conditions trajectoryLatent conditions trajectory

ErrorsErrors

andandviolations

violations

PeoplePeople

WorkingWorkingconditions

conditions

WorkplaceWorkplace

Management

Managementdecisions and

decisions andorganizational

organizationalprocesses

processes

OrganizationOrganization

Operational performance

Operational performance

OperationalOperationaldeploymentdeployment

System System designdesign

Baseline performanceBaseline performance

Operationaldrift

System Performance in the Real WorldSystem Performance in the Real World

Managing Safety–Navigating the DriftManaging Safety–Navigating the DriftBaseline performanceBaseline performance

“Practicaldrift”

Operational

Operational performance

performance

Organization

Navigational aidsNavigational aids

ReactiveReactive ProactiveProactive PredictivePredictive

The Navigational AidsThe Navigational Aids Reactive systems Reactive systems

Accident investigationAccident investigationIncident investigationIncident investigation

PredictivePredictive systemssystemsElectronic safety data Electronic safety data

acquisition systems acquisition systems Direct observation safety Direct observation safety

data acquisition systems data acquisition systems Proactive systemsProactive systems

Mandatory reporting Mandatory reporting systems systems Confidential reporting Confidential reporting systems systems VoluntaryVoluntary self-reportingself-reporting

systemssystems

Safety Data Systems and Levels of Intervention Safety Data Systems and Levels of Intervention

Baseline performanceBaseline performance

“Practicaldrift”

Operational performance

Operational performance organization

Predictive Proactive Reactive

Highly efficient Very efficient Efficient

Safety management levelsSafety management levels

Reactive

Desirable managementDesirable managementlevel level

Inefficient

ASRASRSurveysSurveysAuditsAudits

ASRASRMORMOR

AccidentAccidentand incidentand incident

reportsreports

HHii gghhMMiiddddllee

LLooww

HazardsHazards

FDAFDADirectDirect

observationobservationsystemssystems

Operational performance

Operational performance

OperationalOperationaldeploymentdeployment

System System designdesign

Baseline performanceBaseline performance

Operationaldrift

Managing Safety: Collapsing the DriftManaging Safety: Collapsing the Drift

OperationalOperationaldeploymentdeployment

System System designdesign

Operational driftOperational performance

Operational performance

Baseline performanceBaseline performance

Emerging Paradigm Emerging Paradigm

Performance-based – The world Performance-based – The world as it isas it is Aviation system – as pre-specified – Aviation system – as pre-specified – is imperfectis imperfect Performance basedPerformance based Process orientedProcess oriented

Safety data captured from daily, normal operationsSafety data captured from daily, normal operations

Rule-based – The world Rule-based – The world as it should beas it should beAviation system – as pre-specified – is perfectAviation system – as pre-specified – is perfectCompliance basedCompliance basedOutcome orientedOutcome oriented

Accident investigationAccident investigation

Organizational processes

Latentconditions

Workplaceconditions

DefencesActive

failures

Organizational processes

Policy-makingPolicy-making PlanningPlanning Communication Communication Allocation of resourcesAllocation of resources SupervisionSupervision ……

Activities over which any organization has a Activities over which any organization has a reasonable degree of direct controlreasonable degree of direct control

Activities over which any organization has a Activities over which any organization has a reasonable degree of direct controlreasonable degree of direct control

Performance-based SafetyPerformance-based Safety

Organizational processes

Latentconditions

Workplaceconditions

DefencesActive

failures

Performance-based SafetyPerformance-based SafetyOrganizational processes

Latentconditions

Inadequate hazard Inadequate hazard identification and risk identification and risk managementmanagement

Normalization of devianceNormalization of deviance

Conditions present in the system before the accident, made Conditions present in the system before the accident, made evident by triggering factors evident by triggering factors

Organizational processes

Latentconditions

Workplaceconditions

DefencesActive

failures

Performance-based SafetyPerformance-based SafetyOrganizational processes

Latentconditions

Defences

Technology Technology TrainingTraining Regulations Regulations

Resources to protect against the risks that organizations Resources to protect against the risks that organizations involved in production activities must confront involved in production activities must confront

Organizational processes

Latentconditions

Workplaceconditions

DefencesActive

failures

Performance-based SafetyPerformance-based SafetyOrganizational processes

Workplaceconditions

Factors that directly influence the efficiency of people in Factors that directly influence the efficiency of people in aviation workplacesaviation workplaces

Workforce stabilityWorkforce stabilityQualifications and Qualifications and

experienceexperienceMoraleMoraleCredibilityCredibilityErgonomicsErgonomics……

Organizational processes

Latentconditions

Workplaceconditions

DefencesActive

failures

Performance-based SafetyPerformance-based SafetyOrganizational processes

Workplaceconditions

Activefailures

Actions or inactions by people (pilots, controllers, Actions or inactions by people (pilots, controllers, maintenance engineers, aerodrome staff, etc.) that maintenance engineers, aerodrome staff, etc.) that have an immediate adverse effect have an immediate adverse effect

ErrorsErrors ViolationsViolations

Organizational processes

Latentconditions

Workplaceconditions

DefencesActive

failures

Performance-based SafetyPerformance-based SafetyOrganizational processes

Latentconditions

Workplaceconditions

DefencesActive

failures

Improve IdentifyMonitor

Con

tain

Reinforce

Performance-Based Safety: The Performance-Based Safety: The ABCABC

A.A. Senior management’s Senior management’s commitmentcommitment to the management to the management of safetyof safety

B.B. Initial analysis of system and establishment of risk Initial analysis of system and establishment of risk controls (controls (safety risk managementsafety risk management) )

C.C. Continuous safety monitoring and analysis of safety Continuous safety monitoring and analysis of safety data from normal operations (data from normal operations (safety assurancesafety assurance))