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The Basics of SMS

The Basics of SMS. Capt. Miguel Ramos Technical Officer Aviation Safety Training, ICAO 24-25 November 2010 TC 2010 SMS Info Session. Overview. Basic safety management concepts Safety management requirements SMS framework Practical exercise on Safety Risk Assessment.

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The Basics of SMS

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  1. The Basics of SMS Capt. Miguel Ramos Technical Officer Aviation Safety Training, ICAO 24-25 November 2010 TC 2010 SMS Info Session

  2. Overview • Basic safety management concepts • Safety management requirements • SMS framework • Practical exercise on Safety Risk Assessment The Basics of SMS

  3. Part I – Basic safety management concepts The Basics of SMS

  4. Concept Safety Managementprinciples ICAO SARPS Realistic implementation Prescription Performance The Basics of SMS

  5. Before safety management • Traditional approach • Preventing accidents • Accident investigation - Focus on outcomes (causes) • Regulatory compliance The Basics of SMS

  6. A concept of accident causation Organization Workplace People Defences Accident Technology Regulations Errors and violations Training Management decisions and organizational processes Working conditions Latent conditions trajectory The Basics of SMS

  7. Why SM? An imperfect system Operational deployment Operational deployment SMS Baseline performance Baseline performance Baseline performance System design ? “Practical drift” “Practical drift” Operational performance Operational performance The Basics of SMS

  8. The focus of hazard identification Accidents 1 – 5 “Practical drift” “Practical drift” Serious incidents 30 – 100 Incidents 100 – 1000 Latent conditions 1000 – 4000 SMS Hazard identification is a wasted effort if restricted to the aftermath of rare occurrences where there is serious injury, or significant damage. The Basics of SMS

  9. Three key definitions • 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 • Safety Risk – The assessment, expressed in terms of predicted probability and severity, of the consequence(s) of a hazard taking as reference the worst foreseeable situation The Basics of SMS

  10. Hazard analysis A ABC of hazard analysis State the generic hazard (Hazard statement) • Airport construction B Identify specific components of the hazard • Construction equipment • Closed taxiways • … C Naturally leading to specific consequence(s) • Aircraft colliding with construction equipment • Aircraft taking wrong taxiway • … The Basics of SMS

  11. Safety Risk Management • The assessment and mitigation of safety risks related to the consequences of hazards that threaten the capabilities of an organization, to a level as low as reasonably practicable (ALARP) The Basics of SMS

  12. Safety risk probability Probability of occurrence Qualitative definition Meaning Value Frequent Likely to occur many times (has occurred frequently) 5 Occasional Likely to occur some times (has occurred infrequently) 4 Remote Unlikely, but possible to occur (has occurred rarely) 3 Improbable Very unlikely to occur (not known to have occurred) 2 Extremely improbable Almost inconceivable that the event will occur 1 The Basics of SMS

  13. Safety risk severity Severity of occurrences Value Meaning Aviation definition • Equipment destroyed. • Multiple deaths. A Catastrophic • A large reduction in safety margins, physical distress or a • workload such that the operators cannot be relied upon to • perform their tasks accurately or completely. • Serious injury. • Major equipment damage. B Hazardous • A significant reduction in safety margins, a reduction in the • ability of the operators to cope with adverse operating • conditions as a result of increase in workload, or as a result • of conditions impairing their efficiency. • Serious incident. • Injury to persons. C Major • Nuisance. • Operating limitations. • Use of emergency procedures. • Minor incident. Minor D Negligible E • Little consequences The Basics of SMS

  14. Risk assessment Risk severity Risk probability Catastrophic Hazardous Major Minor Negligible A B B C D E 5A 5B 5C 5 5D 5E Frequent 4A 4B 4C 4D 4E 4 Occasional 3A 3E 3 3B 3C 3D Remote 2A 2D 2E 2B 2C 2 Improbable Extremely improbable 1C 1D 1E 1 1A 1B The Basics of SMS

  15. Risk tolerability Assessment risk index Suggested criteria Risk management Intolerable region 5A, 5B, 5C, 4A, 4B, 3A Unacceptable under the existing circumstances 5D, 5E, 4C, 4D, 4E, 3B, 3C, 3D, 2A, 2B, 2C Acceptable based on risk mitigation. It might require management decision Tolerable region Acceptable region 3E, 2D, 2E, 1A, 1B ,1C, 1D, 1E Acceptable The Basics of SMS

  16. Connecting processes Method Identification Management Documentation Information • Reactive method • ASR • MOR • Incident reports • Accident reports “Safety library” Assess and prioritize risks Assign responsibilities Safety management information Trend analysis Hazards Hazards • Proactive method • ASR • Surveys • Audits Develop control and mitigation strategies Implement strategies Safety bulletins Report distribution • Predictive method • FDA • Direct observation systems Inform person(s) responsible for implementing strategies Re-evaluate strategies and processes Seminars and workshops Feedback The Basics of SMS

  17. Part II – Safety management requirements The Basics of SMS

  18. What is an SMS? • A systematic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures • Service providers are responsible for establishing an SMS • States are responsible, under the SSP, for the acceptance and oversight of organizations’ SMS

  19. The big picture • Two audience groups • States • Service providers • Three distinct requirements • State safety programme (SSP) • Acceptable level of safety (ALoS) • Safety management System (SMS) • Safety performance of the SMS • Management accountability The Basics of SMS

  20. Basic safety management requirements • States shall require, as part of their State safety program (SSP), that a [service provider] implement a safety management system (SMS) acceptable to the State that, as a minimum: • identifies safety hazards; • ensures the implementation of remedial action necessary to maintain agreed safety performance • provides for continuous monitoring and regular assessment of the safety performance; and • aims at a continuous improvement of the overall performance of the safety management system The Basics of SMS

  21. Basic safety management requirements • A safety management system (SMS) shall clearly define lines of safety accountability throughout a service provider organization, including a direct accountability for safety on the part of senior management The Basics of SMS

  22. Part III – SMS Framework The Basics of SMS

  23. SMS objectives • A platform for service providers to apply the two basic safety management principles throughout their operations • safety risk management (SRM) • safety assurance (SA) • A framework that allows service providers and the State safety oversight authority to interact more effectively in the resolution of safety concerns The Basics of SMS

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

  25. 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 – Safety 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 The Basics of SMS

  26. Part IV - Practical exercise on Safety risk assessment The Basics of SMS

  27. Airport construction project • Objective of the exercise • Conduct a safety risk assessment of an airport construction project • Time allocated • 90 minutes The Basics of SMS

  28. Scenario • International airport extension project in three phases (150,000 movements a year with a forecast of 10% traffic increase yearly) • Phase 1 – Relocation of the control tower south of the airport • Phase 2 – Construction of a parallel runway 10R-28 L, including all taxiways • Phase 3 – Construction of a passenger terminal south of the airport • The airport will continue to operate day and night (H24) during the time of the construction The Basics of SMS

  29. Current aerodrome layout The Basics of SMS

  30. Phase 1 Relocation of the control tower • Relocation of the control tower • The control tower will be relocated south of the airport (see aerodrome layout) and its height will be 15 m (50 feet) • Duration: 12 months The Basics of SMS

  31. Phase 1 – Aerodrome layout Phase 1 The Basics of SMS

  32. Phase 2 Construction of a parallel runway • Construction of a parallel runway • It is a new parallel runway (10R-28L) 4.200 m long and 60 m wide, including its corresponding taxiways (see aerodrome layout). • Duration: 24 months The Basics of SMS

  33. Phase 2 – Aerodrome layout Phase 2 The Basics of SMS

  34. Phase 3 Construction of a new terminal • Construction of a new terminal • It is a new terminal south of the airport, including its corresponding access road and taxiways (see aerodrome layout). • Duration: 36 months The Basics of SMS

  35. Phase 3 – Aerodrome layout Phase 3 The Basics of SMS

  36. Your Task • Review the aerodrome scenario for Phases 2-3 and corresponding instructions • 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 safety related risk(s) • Assess existing defenses to control the safety risk(s) and resulting safety risk index • Propose further action to reduce the safety risk(s) and resulting safety risk index • Determine the person responsible for implementation • Complete the following log The Basics of SMS

  37. Hazard identification and safety risk management Existing defences to control safety risk(s) and safety risk index Further action to reduce safety risk(s) and resulting safety risk index Type of operation or activity Specific components of the hazard Hazard-related consequences Generic hazard Responsible person Nº Safety risk index: Safety risk tolerability: 1 Safety risk index: Safety risk tolerability: Safety risk index: Safety risk tolerability: Safety risk index: Safety risk tolerability: 2 3 Safety risk index: Safety risk tolerability: Safety risk index: Safety risk tolerability: 4 Safety risk index: Safety risk tolerability: Safety risk index: Safety risk tolerability: 5 Safety risk index: Safety risk tolerability: Safety risk index: Safety risk tolerability: The Basics of SMS

  38. Useful tips • Elect a facilitator • Start with a general discussion on the objective of the task and the material available for this exercise (no more than 10 minutes) • Select one of the participants of the group for preparing the final report on the laptop • Be prepared to deliver the results of the exercise to the instructor at least 5 minutes before the time allocated The Basics of SMS

  39. www.icao.int/FSIX

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