Management

Aeroportuar
Safety Management Systems

Florin Necula
 Safety Management Systems

Scopul și obiectivele cursului

Principalul scop este de a înțelege procesul de

implementare a SMS-ului la nivel de aeroport
De a înțelege provocările cu care se confruntă organizația
pe parcursul procesului de implementare a SMS-ului
 Cursul va parcurge toate etapele și elementele unui
Sistem de Managementul Siguranței

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 Safety Management Systems
Agenda

 Definiții
 Conceptul de ”siguranță”
 SMS Introducere generală
 Cadrul de reglementări ICAO și EASA
 Analiza ”gap”
 Procesul de implementare a SMS-ului
 Integrarea SMS-ului în cultura organizațională

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 Safety Management Systems
Agenda

 Construcția planului de parcurs

 Implementarea planului pentru situații de urgență
 Documentația suport pentru implementarea SMS-ului
Analiză de risc
Costurile SMS-ului vs. beneficii
Promovarea SMS-ului în cadrul companiei

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 Safety Management Systems
Definiții

Acceptable Level of Safety Performance (ALoSP)

The minimum level of safety performance of civil aviation in a

State, as defined in its State Safety Program, or of a service
provider, as defined in its Safety Management System,
expressed in terms of safety performance targets and safety
performance indicators

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 Safety Management Systems
Definiții

Defences

Specific mitigating actions, preventive controls or recovery

measures put in place to prevent the realization or escalation
of a hazard into an undesirable consequence.

Errors

An action or inaction by an operational person that leads to

deviations from organizational or the operational person‘s
intentions or expectations.

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Definiții

High Consequence Indicators

Safety performance indicators pertaining to the monitoring

and measurement of high consequence occurrences, such as
accidents or serious incidents. Sometimes known as reactive
indicators.
Lower Consequence Indicators

Safety performance indicators pertaining to the monitoring

and measurement of lower consequence occurrences, events
or activities such as incidents, non conformance findings or
deviations. Sometimes known as proactive/ predictive
indicators 7
 Safety Management Systems
Definiții

Risk Mitigation

The process of incorporating defences or preventive controls

to lower the severity and/ or likelihood of a hazard‘s
projected consequence.

Safety Management System

A systematic approach to managing safety, including the

necessary organizational structures, accountabilities, policies
and procedures.

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 Safety Management Systems
Definiții

Safety Performance

A State or a service provider´s safety achievement as defined

by its safety performance targets and safety performance
indicators.

Safety Performance Indicator

A data-based safety parameter used for monitoring and

assessing safety performance

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 Safety Management Systems
Definiții

Safety Risk

The projected likelihood and severity of the consequences or

outcomes of a hazard

State Safety Programme

An integrated set of regulations and activities aimed at

improving safety.

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 Safety Management Systems
Conceptul de ”safety”

Sigur… sau… nu?

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 Safety Management Systems
Conceptul de ”safety”

Ce este safety?

De ce contează?

Cine e responsabil cu safety?

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 Safety Management Systems
Conceptul de ”safety”

Safety is:

The state in which the possibility of harm to persons or of

property damage is reduced to, and maintained at or below, an
acceptable level through a continuing process of hazard
identification and safety risk management. (ICAO SMM, Oct.
2012)

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 Safety Management Systems
Evoluția conceptului de siguranță

(sursa: adaptat după ICAO SMM, 2009)

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 Safety Management Systems
Conceptul de ”safety”

Abia la începutul anilor 1990 s-a constat că oamenii sunt

influențați de contextul operațional în care își desfășoară
activitatea și că acesta afectează performanțele umane.

Acest lucru a semnalat începutul erei organizaționale când

siguranța a început să fie văzută dintr-o perspectivă
sistemică.

Tot în această perioadă, aviația a început să recunoască

noțiunea de ”accident organizațional”.

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 Safety Management Systems
Conceptul de ”safety”

Această noțiune de ”accident organizațional” ia în considerare

cultura și politicile organizației și influența acestora asupra
eficienței măsurilor de control al riscurilor.

Colectarea tradițională a datelor și analiza acestora era

limitată la ceea ce se obținea din investigarea accidentelor și a
incidentelor serioase. SMS-ul suplimentează aceste surse
printr-o nouă abordare a siguranței.

Această nouă abordare se bazează pe colectarea și analiza

continuă a datelor.

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 Safety Management Systems
Conceptul de ”safety”

Abordarea tradițională este una reactivă (măsurile sunt

luate după ce incidentul sau accidentul a avut loc).

SMS-ul folosește atât metode proactive cât și reactive

pentru detectarea riscurilor, monitorizarea și administrarea
celor cunoscute.

Această abordare formează cadrul care face pasul către o

nouă perspectivă: managementul siguranței.

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 Safety Management Systems
Conceptul de ”safety”

Patru perspective de
abordare a siguranței…
Tehnic Legal
Patru domenii de
impact…

Politic Social

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 Safety Management Systems
Conceptul de ”safety”
ICAO SMM, 2012

While the elimination of aircraft accidents and/ or serious

incidents remains the ultimate goal, it is recognized that the
aviation system cannot be completely free of hazards and
associated risks. Human activities or human-built systems cannot
be guaranteed to be absolutely free from operational errors and
their consequences.
Trebuie să se înțeleagă că nu există siguranță absolută, iar
pentru a determina dacă un sistem este sigur sau nu, trebuie
întâi să stabilim/ definim ce reprezintă un nivel de siguranță
acceptat.
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 Safety Management Systems
SMS Introducere generală

Ce reprezintă pentru noi, angajatori, manageri și personal

operațional SMS-ul?

În trecut companiile obișnuiau să acorde atribuțiile de siguranță

unei singure persoane.

În prezent acest lucru s-a schimbat complet și organizațiile

trebuie să aibă un sistem de management al siguranței.

SMS-ul aduce prin implementarea lui o nouă abordare a

business-ului.

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 Safety Management Systems
SMS Introducere generală

Principalul motiv pentru care SMS-ul este definit ca fiind un

sistem este acela că funcționează pe bază de procese:
colectează date, le analizează, determină riscul și permite
persoanelor responsabile să ia măsurile necesare pentru
eliminarea sau diminuarea riscului.

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Ce reprezintă SMS-ul?

Safety Management System

5%
95 %

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 Safety Management Systems
SMS Introducere generală

Despre ce este
SMS-ul?
Identificarea Managementul Training și
Hazardurilor Riscurilor competențe

Responsabilități și
răspunderi pentru Documentație
Colectare de date
safety la nivel de
companie

Raportarea
Analiza
hazardurilor și a Plan de urgență
incidentelor
evenimentelor
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 Safety Management Systems
SMS Introducere generală
Cadrul de SMS ICAO este alcătuit din patru componente și
12 elemente:

1.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

2. Safety risk management

2.1 Hazard identification
2.2 Risk assessment and mitigation
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 Safety Management Systems
SMS Introducere generală

3. Safety assurance
3.1 Safety performance monitoring and measurement
3.2 The management of change
3.3 Continuous improvement of the SMS

4. Safety promotion
4.1 Training and education
4.2 Safety communication.

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 Safety Management Systems
ICAO
These provisions are targeted to two audience groups: States
and service providers. In the context of safety management,
the term ”service provider” refers to any organization
required to implement a safety management system (SMS)
according to the ICAO SMS framework. Therefore, service
providers in this context include:

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 Safety Management Systems
ICAO

a) approved training organizations

b) aircraft and helicopter operators
c) approved maintenance
d) organizations responsible for type design and/or
manufacture of aircraft;
e) air traffic service providers
f) operators of certified aerodromes.

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 Safety Management Systems
ICAO
As mandated by the Conferences, the Air Navigation Commission
(ANC) agreed to establish the Safety Management Panel (SMP)
to provide recommendations for the development of a new
Annex dedicated to safety management responsibilities and
processes.

The SMP delivered its recommendation for the content of the

new Annex in February 2012, which included safety
management provisions to be transferred to Annex 19 from
other Annexes.

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 Safety Management Systems
ICAO

The Annex 19 provisions as proposed by the SMP are intended

to harmonize the implementation of safety management
practices for States and those organizations involved in aviation
activities.

Consequently, Annex 19 includes safety management

requirements for States, aviation product and service providers,
as well as, operators of aeroplanes involved in international
general aviation operations.

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 Safety Management Systems
Analiza Gap
The initial gap analysis questions checklist is the first step of a
SMS gap analysis.

The questionnaire may be adjusted to suit the needs of the

organization and the nature of the product or service provided.

This initial information should be useful to senior management

in anticipating the scale of the SMS implementation effort and
hence the resources to be provided.

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 Safety Management Systems
Implementarea planului de SMS

The service provider‘s implementation plan may be documented

in different forms, varying from a simple spreadsheet or
specialized project management software.

The implementation plan should address gaps, through

completion of specific actions and completion of milestones
according to the stated timeline. Assignment of each task
assures accountability throughout the implementation process.

The plan should be reviewed regularly and updated as

necessary.

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 Safety Management Systems
Implementarea planului de SMS

Full implementation of all components and elements of the SMS

framework may take up to five years, depending on an
organization‘s maturity and complexity.

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 Safety Management Systems
Integrarea SMS-ului în cultura organizațională

Culture is characterized by the beliefs, values, biases and their

resultant behaviour that are shared among members of a
society, group or organization.

An understanding of these cultural components, and the

interactions among them, is important to safety management.
Among the most influential cultural components are
organizational, professional, and national.

A reporting culture is key component of these different cultures.

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 Safety Management Systems
Integrarea SMS-ului în cultura organizațională

Continuous improvement in safety performance is possible

when safety becomes a value within an organization as well as a
priority at the national or professional level .

A healthy safety culture relies on a high degree of trust and

respect between personnel and management and must therefore
be created and supported at the senior management levels.

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 Safety Management Systems
Integrarea SMS-ului în cultura organizațională

The service provider must consider whether acts of non-

compliance are the result of a violation or inadvertent error
when determining whether punitive action is appropriate, with
the criteria normally being whether non-compliance is the result
of wilful misconduct or gross negligence.

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 Safety Management Systems
Construcția planului de parcurs

The implementation of an SMS is a systematic process.

Nevertheless, this process may be quite a challenging task

depending on factors, such as the availability of guidance
material and resources required for implementation, as well as
the service providers‘ pre-existing knowledge of SMS processes
and procedures

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 Safety Management Systems
Construcția planului de parcurs

The phased approach recognizes that implementation of a fully

matured SMS is a multi-year process.

A phased implementation approach permits the SMS to become

more robust as each implementation phase is completed.

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Implementarea planului pentru situații de urgență
To be effective, an ERP should:

a) be appropriate to the size, nature and complexity of the

organization;
b) be readily accessible to all relevant personnel and other
organizations where applicable;
b) include checklists and procedures relevant to different or
specific emergency situations;
c) have quick reference contact details of relevant personnel;
c) be regularly tested through exercises;
d) periodically reviewed and updated when details change

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 Safety Management Systems
Implementarea planului pentru situații de urgență

The ERP should provide direction for responding to emergencies,

such as governing laws and regulations for investigations,
agreements with local authorities, company policies and
priorities.

The ERP should outline management‘s intentions with respect to

the responding organizations by:

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Implementarea planului pentru situații de urgență
1) designating who will lead and who will be assigned to the
response teams;

2) defining the roles and responsibilities for personnel assigned to

the response teams;

3) clarifying the reporting lines of authority;

4) setting up an emergency management centre (EMC);

5) establishing procedures for receiving a large number of requests

for information, especially during the first few days after a major
accident;
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Implementarea planului pentru situații de urgență

6) designating the corporate spokesperson for dealing with the

media;

7) defining what resources will be available, including financial

authorities for immediate activities;

8) designating the company representative to any formal

investigations undertaken by State officials;

9) defining a call-out plan for key personnel.

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 Safety Management Systems
Implementarea planului pentru situații de urgență

The plan should specify who in the organization should be notified

of an emergency, who will make external notifications and by what
means.

1) management;
2) State authorities (search and rescue, regulatory authority,
accident investigation board, etc.);

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Implementarea planului pentru situații de urgență

3) local emergency response services (aerodrome authorities,

fire fighters, police, ambulances, medical agencies, etc.);

4) relatives of victims (a sensitive issue that, in many States, is

handled by the police);

5) company personnel;

6) media;

7) legal, accounting, insurers, etc.

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 Safety Management Systems
Implementarea planului pentru situații de urgență

An initial response team may be dispatched to the accident or

crisis site to augment local resources and oversee the
organization‘s interests.

Factors to be considered:

1) Who should lead the initial response team?

2) Who should be included on the initial response team?
3) Who should speak for the organization at the accident site?
4) What would be required by way of special equipment,
clothing, documentation, transportation, accommodation, etc.?

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 Safety Management Systems
Implementarea planului pentru situații de urgență

In addition to the organization‘s need to maintain logs of events

and activities, the organization will also be required to provide
information to any State investigation team.

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 Safety Management Systems
Documente suport pentru implementarea SMS-ului

SMS documentation shall include and make reference to, all

relevant and applicable national and international regulations.

It shall also include SMS-specific records and documentation,

such as hazard reporting forms, lines of accountability,
responsibility and authority regarding the management of
operational safety, and the structure of the safety management
organisation.

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 Safety Management Systems
Documente suport pentru implementarea SMS-ului

It shall furthermore document explicit guidelines for records

management, including handling, storage, retrieval and
preservation.

It is always to be understood that the most important piece of

documentation of an SMS is the SMS Manual.

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 Safety Management Systems
Documente suport pentru implementarea SMS-ului

It shall furthermore document explicit guidelines for records

management, including handling, storage, retrieval and
preservation.

It is always to be understood that the most important piece of

documentation of an SMS is the SMS Manual

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 Safety Management Systems
Documente suport pentru implementarea SMS-ului

The manual contents include:

1. Document control ;
2. SMS regulatory requirements ;
3. Scope and integration of the safety management system ;
4. Safety policy ;
5. Safety objectives ;

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Documente suport pentru implementarea SMS-ului

6. Safety accountabilities and key personnel ;

7. Safety reporting and remedial actions ;
8. Hazard identification and risk assessment ;
9. Safety performance monitoring and measurement ;
10. Safety-related investigations and remedial actions ;

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Documente suport pentru implementarea SMS-ului

11. Safety training and communication ;

12. Continuous improvement and SMS audit ;
13. SMS records management ;
14. Management of change ; and
15. Emergency/ contingency response plan.

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 Safety Management Systems
Analiza de risc

SMS-ul – un proces ciclic… Hazard

identification &
risk assessment

Statistical
analysis Risk analysis
monitoring

Implementation Risk assessment

check acceptance

Action
management

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 Safety Management Systems
Analiza de risc

Hazard – Condition or object with the potential of causing

injuries to personnel, damage to equipment or structures, loss
of material, or reduction of ability to perform a prescribed
function.
Consequence – Potential outcome(s) of the hazard
A wind of 15 knots blowing directly across the runway is a
hazard
A pilot may not be able to control the aircraft during takeoff
or landing is one of the consequences of the hazard

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Analiza de risc

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 Safety Management Systems
Analiza de risc

Identificarea hazardurilor este responsabilitatea tuturor în

companie, dar răspunderea pică cu personalul de safety
desemnat.

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 Safety Management Systems
Analiza de risc

Hazard identification conducted under mature safety

management practices resorts to a judicious combination of
internal and external sources, reactive, proactive and predictive
processes, and their underlying programmes.

Hazard identification is a continuous, ongoing, daily activity.

It never stops or rests !

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 Safety Management Systems
Analiza de risc
Hazard
identification &
risk assessment

Statistical
analysis Risk analysis
monitoring

Implementation Risk assessment

check acceptance

Action
management

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 Safety Management Systems
Analiza de risc

Safety risk management

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 Safety Management Systems
Analiza de risc

Safety risk is the projected likelihood and severity of the

consequences or outcomes from an existing hazard or situation.
While the outcome may be an accident, an intermediate unsafe
event/ consequence may be identified as ―the most credible
outcome.

Risk = Probability x Severity

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 Safety Management Systems
Analiza de risc

Source: ICAO SMM, 2012 64

 Safety Management Systems
Analiza de risc

Source: ICAO SMM, 2012 65

 Safety Management Systems
Analiza de risc

Source: ICAO SMM, 2012 66

 Safety Management Systems
Analiza de risc

Source: ICAO SMM, 2012 67

 Safety Management Systems
Equipment, procedures, organization, etc. Hazard
identification

Analyse the likelihood of the consequence Risk analysis

occurring Probability

Evaluate the seriousness of the consequence Risk analysis

if it does occur Severity

Is the assessed risk(s) acceptable and within Risk assessment

the organization’s safety performance criteria and tolerability

Yes, accept the No, take action to Risk control

risk(s) reduce the risk(s) to
an acceptable level /mitigation

Source: ICAO Safety Management Systems, Module 5 68

 Safety Management Systems
Costurile SMS-ului vs. beneficii

Safety Management Systems make economic sense

Few organisations can survive the economic consequences of a

major accident. Hence, there is a strong economic case for
pursuing an integrated Safety Management System.

There are three types of costs associated with an accident or

incident: direct, indirect and industry/ social costs.

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Toate induc costuri !

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 Safety Management Systems
Scurtă recapitulare

The 10 basic steps to establishing a Safety Management

System are:

1. Gain senior management commitment.

2. Set safety management policies and objectives.
3. Appoint a safety officer.
4. Set up a safety committee (usually only for large or
complex organisations).
5. Establish a process to manage risks.
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Scurtă recapitulare

6. Set up a reporting system to record hazards, risks and

actions taken.
7. Train and educate staff.
8. Audit your operation and investigate incidents and
accidents.
9. Set up a system to control documentation and data.
10. Evaluate how the system is working.

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