Module N ° 8 – SMS planning

Module N° 8 – SMS planning

Course structure Safety Module 10 Phased approach to SSP and SMS Implementation Module 10 Phased approach to SSP and SMS Implementation Management System Module 8 SMS planning Module 9 SMS operation Module 8 SMS planning Module 9 SMS operation Module 5 Risks Module 6 SMS regulation Module 7 Introduction to SMS Module 6 SMS regulation Module 7 Introduction to SMS Module 1 SMS course introduction Module 2 Basic safety concepts Module 3 Introduction to safety management Module 4 Hazards

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)

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)

The components of SMS • Safety policy and objectives • Safety risk management • Safety assurance • Safety promotion

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 1.5 – SMS documentation • Safety risk management 2.1 – Hazard identification 2.2 – Risk assessment and mitigation

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

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

Safety policy and objectives 1.1 – Management commitment and responsibility • The service provider shall define the safety policy of the organization which shall: • Be in accordance with international and national requirements; • Be signed by the Accountable executive of the organization; • Reflect organizational commitments regarding safety; • Include a clear statement about the provision of the necessary resources for the implementation of the safety policy; ...

Safety policy and objectives 1.1 – Management commitment and responsibility • ... safety policy of the organization shall (cont’d): • Be communicated, with visible endorsement, throughout the organization; • Include the safety reporting procedures; • Clearly indicate which types of operational behaviours are unacceptable; • Include the conditions under which exemptions from disciplinary action would be applicable; ...

Safety policy and objectives 1.1 – Management commitment and responsibility • ... safety policy of the organization shall (cont’d): • Be periodically reviewed to ensure it remains relevant and appropriate to the organization; • Ensure the implementation of remedial action necessary to maintain agreed safety performance; • Provide for continuous monitoring and regular assessment of the safety performance; • Aim at a continuous improvement to the overall performance of the SMS

Safety policy and objectives 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

Safety policy and objectives 1.2 – Safety accountabilities • The Accountable Executive shall: • Be a single and identifiable person • CEO/Chairman Board of Directors • A partner • The proprietor • ...

Safety policy and objectives 1.2 – Safety accountabilities • The Accountable Executive must have: • full authority for human resources issues • authority for major financial issues • direct responsibility for the conduct of the organization’s affairs • final authority over operations under certificate • final responsibility for all safety issues

Safety policy and objectives 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

Safety policy and objectives 1.2 – Safety accountabilities • 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 • theresponsibilities regarding the operation of the SMS

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) Safety Services Office

Safety policy and objectives 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

Safety responsibilities 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) Safety Services Office

Safety policy and objectives 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

Safety policy and objectives 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

Safety policy and objectives 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

Safety policy and objectives 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

Safety policy and objectives 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

Safety policy and objectives 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

Safety policy and objectives 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

Safety policy and objectives 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

Safety policy and objectives 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

Safety policy and objectives 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

Safety policy and objectives 1.5 – SMS documentation • As part of the SMS documentation, the organization shall: • develop an SMS implementation plan, endorsed by senior management of the organization that defines the organization’s approach to the management of safety in a manner that meets the organization’s safety objectives • develop and maintain a safety management system manual (SMSM), to communicate its approach to the management of safety throughout the organization

Safety policy and objectives 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 organization’s safety performance needs • A definition of the approach the organization will adopt for managing safety

Safety policy and objectives 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.

Safety policy and objectives 1.5.1 –SMS implementation plan – Contents • 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)

Safety Management System Manual (SMSM) Safety policy and objectives 1.5.2 – Safety Management System Manual (SMSM) • Key instrument for communicating the organization’s 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

Safety policy and objectives 1.5.2 – SMSMcontents • Scope of the safety management system • The safety policy and objectives • Safety accountabilities • Key safety personnel • Documentation control procedures • Coordination of the emergency response planning • Hazard identification and risk management schemes • Safety assurance • Safety performance monitoring • Safety auditing • Management of change • Safety promotion • Contracted activities

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)

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)

SMS planning Questions and answers

Questions and answers • 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 organization’s affairs • final authority over operations under certificate • final responsibility for all safety issues Slide number: 15

Questions and answers • 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

Questions and answers • Q: List five subjects that should be included in the contents of the Safety Management System Manual (SMSM). • A: • Scope of the safety management system. • The safety policy and objectives. • Safety accountabilities. • Key safety personnel. • Documentation control procedures. • Coordination of the emergency response planning. • Hazard identification and risk management schemes. • Safety assurance. • Safety performance monitoring. Slide number: 41

Points to remember • The four components of an SMS • The elements of an SMS • The importance of documenting safety responsibilities • SRB, SAG and the safety services office • The SMS implementation plan • The SMSM

SMS planning Exercise 08/01 – Cuzco International Airport operation (Handout N° 5)

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

Module N ° 8 – SMS planning