ICAO SMS M 08 - SMS Planning (R013) 09 (E)

Module N 8 SMS planning
Revision N 13
ICAO Safety Management Systems (SMS) Course
06/05/09
Course structure
Safety Management System Module 8

Module 5 Risks Module 1 SMS course introduction
Module N 8
Module 10 Phased approach to SSP and SMS Implementation Module 9 SMS operation
SMS planning
Module 6 SMS regulation Module 2 Basic safety concepts
Module 7 Introduction to SMS
Module 3 Introduction to safety management
Module 4 Hazards
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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
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
The components of SMS
Safety policy and objectives Safety risk management
Safety assurance
Safety promotion
Module N 8
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
Safety risk management
1.5 SMS documentation
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 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
policy and objectives Safety

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; ...

1.1 Management commitment and responsibility
... safety policy of the organization shall (contd):

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; ...

1.1 Management commitment and responsibility
... safety policy of the organization shall (contd):

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

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

The Accountable Executive shall:

Be a single and identifiable person CEO/Chairman Board of Directors A partner The proprietor
...
Module N 8

The Accountable Executive must have:

full authority for human resources issues
authority for major financial issues

direct responsibility for the conduct of the organizations affairs final authority over operations under certificate final responsibility for all safety issues

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

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
Safety responsibilities An example

Safety Review Board (SRB)
Accountable Executive
Head of operations
Head of maintenance
Heads of other areas
Operations safety officer
Maintenance safety officer
Safety Action Group(s) (SAG)

Module N 8
Safety Services Office


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
Safety responsibilities
Head of operations
Head of maintenance

Module N 8


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

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

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
Head of operations
Head of maintenance

Module N 8


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

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
Head of operations
Head of maintenance

Module N 8


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

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

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

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

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

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 organizations approach to the management of safety in a manner that meets the organizations safety objectives 2) develop and maintain a safety management system manual (SMSM), to communicate its approach to the management of safety throughout the organization

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 organizations safety performance needs A definition of the approach the organization will adopt for managing safety

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

1.5.1 SMS implementation plan Contents
1) 2) 3) 4) 5) 6) 7) 8) 9) 10) 11)
Module N 8
Safety policy and objectives System description Gap analysis SMS components Safety roles and responsibilities Safety reporting policy Means of employee involvement Safety performance measurement Safety training Safety communication Management review (of safety performance)

1.5.2 Safety Management System Manual (SMSM) Key instrument for communicating the organizations 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

1.5.2 SMSM contents 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
Module N 8
7. Hazard identification and risk management schemes 8. Safety assurance 9. Safety performance monitoring 10. Safety auditing 11. Management of change 12. Safety promotion 13. Contracted activities
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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
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
SMS planning
Questions and answers
Module N 8

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 organizations affairs final authority over operations under certificate final responsibility for all safety issues
Slide number: 15

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

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
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
SMS planning
Exercise 08/01 Cuzco International Airport operation (Handout N 5)
Module N 8
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

+ 15.000 ft Hazard assessment of the operation. Control and/or mitigation of the risks
+ 15.000 ft
Velazco Astete Airport Elevation 10.656 ft
+ 15.000 ft
+ 15.000 ft
+ 15.000 ft
Module N 8

Velazco Astete Airport Elevation 10.656 ft Threshold 28
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+ 16.000 ft
Threshold 10 Velazco Astete Airport Elevation 10.656 ft
City of Cuzco
Threshold 28
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Threshold 28
Threshold 10
+ 16.000 ft
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+ 16.000 ft
Threshold 28
City of Cuzco
Velazco Astete Airport Threshold 10
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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

In case of engine fire, engine-out or emergency condition return to airport is mandatory, except if the aircrafts 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
What is the safety concern?

Issues to be considered: Aerodrome infrastructure Navigational radio aids Weather conditions Aircraft performance Take-off obstacle clearance net path En-route obstacle clearance net path (trajectory) In-flight procedures Documentation Training: Pilots and cabin crew Flight dispatchers Safety ground crew
#
Module N 8

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)
Table 08/01 Hazard identification and risk management

N Type of operation or activity Generic hazard
Specific components of the hazard
Hazard-related consequences
Existing defences Further action to to control risk(s) reduce risk(s) and Responsible person and risk index resulting risk index
Risk index: Risk tolerability:
5
Module N 8
Module N 8 SMS planning
Revision N 13
06/05/09

ICAO SMS M 08 - SMS Planning (R013) 09 (E)

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Module N 8 SMS planning

ICAO Safety Management Systems (SMS) Course

Safety Management System Module 8

Module 6 SMS regulation Module 2 Basic safety concepts

Module 7 Introduction to SMS

Module 3 Introduction to safety management

ICAO Safety Management Systems (SMS) Course

plan and the contents of the safety management system

ICAO Safety Management Systems (SMS) Course

The elements of SMS

ICAO Safety Management Systems (SMS) Course

The components of SMS

Safety policy and objectives Safety risk management

ICAO Safety Management Systems (SMS) Course

The elements of SMS

Safety policy and objectives

1.4 Coordination of emergency response planning

Safety risk management

1.5 SMS documentation

2.1 Hazard identification

The elements of SMS

ICAO Safety Management Systems (SMS) Course

ICAO SMS framework Safety policy and objectives

policy and objectives Safety

policy and objectives Safety

... safety policy of the organization shall (contd):

policy and objectives Safety

... safety policy of the organization shall (contd):

ICAO SMS framework Safety policy and objectives

policy and objectives Safety

The organization shall identify:

ICAO Safety Management Systems (SMS) Course

policy and objectives Safety

The Accountable Executive shall:

ICAO Safety Management Systems (SMS) Course

policy and objectives Safety

The Accountable Executive must have:

authority for major financial issues

policy and objectives Safety

ICAO Safety Management Systems (SMS) Course

Safety policy and objectives

ICAO Safety Management Systems (SMS) Course

Safety responsibilities An example

Heads of other areas

Operations safety officer

Maintenance safety officer

Safety Action Group(s) (SAG)

Safety Services Office

ICAO SMS framework Safety policy and objectives

policy and objectives Safety

ICAO Safety Management Systems (SMS) Course

Heads of other areas

Operations safety officer

Maintenance safety officer

Safety Action Group(s) (SAG)

Safety Services Office

Safety policy and objectives

ICAO Safety Management Systems (SMS) Course

Safety policy and objectives

Safety policy and objectives

The safety manager Selection criteria

Heads of other areas

Operations safety officer