International Civil Aviation Organization

SAFETY MANAGEMENT

An introduction to safety management systems

(SMS)

SEARAST/SARAST
10 January 2007
 OVERVIEW
COSCAP

Safety Management
An inside look
Systems

Management responsibilities
Culture and organizations

Safety and Objectives

One way forward
Different perception
Systems approach
SMS framework
ICAO contribution

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 Concept of safety (ICAO)
COSCAP

Safety is the state in which the risk of

harm to persons or property damage is
reduced to, and maintained at or below,
an acceptable level through a
continuing process of hazard
identification and risk management.

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 Safety
Traditional approach Accident prevention
COSCAP

Focus on outcomes (causes)

Unsafe acts by operational personnel
Attach blame/punish for failures to perform safely
Address identified safety concern exclusively
Identifies:

WHAT? WHO? WHEN?

But not always discloses:

WHY? HOW?

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 Accident causes - a concept
COSCAP

Organization Workplace People Defences Accident

Latent conditions trajectory

Source: James Reason

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 The organizational accident
COSCAP

Organizational processes
Improve Identify
Monitor
Workplace Latent
conditions conditions

Reinforce
Contain

Active
Defences
failures

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 Management responsibilities
COSCAP

Management commitment and responsibility

Senior management must:
Develop the safety policy, signed by the
accountable executive, in accordance to national
and international standards and organizational
priorities.
Communicate, with visible endorsement, the
safety policy to all staff.
Provide necessary human and financial
resources.

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 Head of organization
COSCAP

Management commitment and responsibility

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.

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 The safety stereotype
COSCAP

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 Is it?
COSCAP

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 Really?
COSCAP

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 Objective of an organization?
COSCAP

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 The management dilemma
COSCAP

Management levels
Resources Resources

Protection Production

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 The management dilemma
COSCAP

Protection

Production

Catastrophe
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 The management dilemma
COSCAP

Production

Protection

Bankruptcy
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 Why SM? An imperfect system
COSCAP

SMS
System Baseline performance
Baseline performance
design
Practical drift
Operational Practical
deployment drift

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 Levels of intervention and systems
COSCAP

Safety management levels

Baseline performance
Hazards Predictive Proactive Reactive Reactive

FDA ASR ASR Accident

Direct
observation
Surveys
Audits
MOR organization
and incident
reports
systems
Highly efficient Very efficient Efficient Insufficient
Desirable management Practical
level drift

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 The essential is invisible to the eyes
COSCAP

Number of occurrences

15 Accidents

30 100 Serious incidents

100 1000 Incidents

Latent conditions
1000 4000

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 One way forward
COSCAP

Different perception
Safety management

A system approach
ICAO SMS framework

Building the system

Training
Responsibilities

Management process
Training

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 The changing of the guard
COSCAP

Traditional Accident/serious incident investigation

Aviation system as pre-specified is perfect.
Compliance based.
Outcome oriented.
Evolving Safety management
Aviation system as pre-specified is imperfect.
Performance based.
Process oriented.

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 ICAO SMS FRAMEWORK
COSCAP

Safety policy and objectives

1.1 Management commitment and responsibility
1.2 Safety accountabilities of managers
1.3 Appointment of key safety personnel
1.4 SMS implementation plan
1.5 Coordination of the emergency response plan
1.6 Documentation
Safety risk management
2.1 Hazard identification processes
2.2 Risk assessment and mitigation processes
2.3 Internal safety investigations
Safety assurance
3.1 Safety performance monitoring and measurement
3.2 The management of change
3.3 Continuous improvement of the safety system
Safety promotion
4.1 Training and education
4.2 Safety communication

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 Responsibilities for managing safety
COSCAP

These responsibilities fall into four basic areas:

Definition of policies and procedures regarding
safety.

Allocation of resources for safety management

activities.

Adoption of best industry practices.

Incorporating regulations governing civil aviation
safety.

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 State safety programme
COSCAP

An integrated set of regulations and activities

aimed at improving safety.
States are responsible for establishing a
safety programme:
Safety regulation
Safety oversight
Accident/incident investigation
Mandatory/voluntary reporting systems
Safety data analysis
Safety promotion

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 The final objective
COSCAP
Safety programme + SMS = State integrated safety
management system
Protection Production

Objective:
Public
State
safety safety
programme

Oversight
Acceptance
Oversight

Objective:
Objective:
Organizations Achieve
Organizations
Manage and safety commercial
control production goals and
management customer
safety risk Risk management processes
system (SMS) satisfaction
Safety assurance

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 The safety management process
COSCAP

Identify
hazards

Re-evaluate Collect
control additional Assess
strategies hazard risks
data

Implement Prioritize
control Safety
strategies management risks
process

Develop
Assign elimination/
Approve mitigation
responsibilities control strategies
strategies

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 ICAO contribution
COSCAP

SMS SARPS
SMS Guidance Material
Safety Management Manual (SMM)
(DOC. 9859)
SMS training
Authorities
Lead SMS implementation
National training organizations
Train-the-trainers

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 Course goals
COSCAP

The goals of the ICAO Safety Management

Systems (SMS) Course are to:
provide participants knowledge of safety
management concepts and ICAO Standards and
Recommended Practices (SARPs) on safety
management in Annexes 6, 11 and 14, and related
guidance material; and
develop participants knowledge to certify and
oversee the implementation of key components of
an SMS, in compliance with relevant ICAO SARPs.

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 Course contents
COSCAP

Module 1 SMS course introduction

Module 2 Basic safety concepts
Module 3 Introduction to safety management
Module 4 Hazards
Module 5 Risks
Module 6 SMS regulation
Module 7 Introduction to SMS
Module 8 SMS planning
Module 9 SMS operation
Module 10 Phased approach to SMS Implementation

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 Course structure
COSCAP

Safety Module10
Phased approach to SMS
Management implementation

System Module 8 Module 9

SMS planning SMS operation

Module 5 Module 6 Module 7

Risks SMS regulation Introduction to SMS

Module 3
Module 1 Module 2 Module 4
Introduction to safety
SMS course introduction Basic safety concepts Hazards
management

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 Evaluation of participants
COSCAP

Daily progress evaluation

A final evaluation test of one hour
duration will be administered on the last
day of the course.
The evaluation test includes twenty (20)
questions of multiple choice answers.
Minimum pass mark: 70%

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 Why evaluation?
COSCAP

The objective of the final evaluation test is to

verify that participants have understood the
basic principles of the planning,
implementation and operation of safety
management systems in order to be able to
certify and oversee operators and service
providers SMS according to ICAO
requirements.

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 If you are, ICAO is
COSCAP

Are you ready?

ICAO can assist
Guidance material
Training
Other support
Direct
indirect

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International Civil Aviation Organization

SAFETY MANAGEMENT

An introduction to safety management systems

(SMS)

St-Petersburg
12 13 December 2006