SMS course for management staff

Ea¥PTRJR'F Development and Course ImprovementTRAINING CENTER
t
SMS Course for Management Staff 176

r
T familiarize managers and supervisors
with th princip es of th safety
manag ment system and their
responsibilities and accountabilities for
safety according to ICA and CAA
standards.

r
• y the end f this c urse delegates will
demonstrate understanding of th following :
1. Basic contemporary safety concepts.
2. ln1troduction to safety management .
3. Safety management standards.
4. ICAO SMS Framework.
5. Roles And Resp, nsibilities In Safety
System.
6. Safety Culture and managemen1t commitment.
7. lmplementing service providers SMS.
Safety Programme - SMS Harmonization.

r
Session Start Title
9.00
Welcome & introductions
60.00 Basic contemporary safety concepts
60.00 Introduction to safety management
---k
12.30 60.00
Safety management standards
- - - - - - - - - ,
13.30 o.oo
14.00 60.00 ICAO SMS Framework

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I
I
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I
'
Session
5
6
Start Duration
Roles And Responsibilities In Safety
Management System________
Bnmu•
10.00 30..0
Safety Culture And Management
90.00 ICommitment'-----------·----10.30
30..008 k
60.00 Implementing Service Providers SMS
Safety Programme - SMS
Harmonization
.------------------,·---------------.--------------------, - - - - - - - - - - - - - - - - ,
13.30 15:15 15:30 Closing

r
s e
• t the en olfht?s sesstO lratflees Wl711be
fami!liar •1h #he Basic Modern SafetyConcepts.

r
r
• efine and explain the terms "accident, incident,
occurrence.
• Describe what the costs of an accidents and
incidents are.
• efine and explain the term of safety.
• mphasizing the need for hazard identification
processes (Reactive; proactive; predicti¥e).
• escribe the james reason accident causation mode .
• Give an overview about the ABC Performance-Based
Safety.

r
- Accidents and Incidents Cost!
- Concept of safety {ICAO Doc 9859)
- Forensic Safety Management
- lne~fficiency and Perversity
- System Performance
- Managing Safety-Navigating and Collapsing the Drift
- Safety Data Systems and Levels of Intervention
- Emerging Paradigm-Performance-Based System
- Performance-based Safety
- A balanced perspective

r r
The total elimination of risk Is
unachievable.
Errors will occur, In spite of the most
accomplished prevention efforts.
No human endeavour or human-made
system can be free from risk and error.
Controlled risk and error are acceptable
In an Inherently safe system.

r
"
•
I
- - - - - - - - - - - - - - - -
An accident ,
I
' a) An acc•dent is aft oeclU'Iience duf~ng the opefation of aa aiferaft wtlieh
entaits:
._ 1) a fatamity or se£1Qus injury.~
' 2) substanUa~ damage to the ailiQIJ'aft involving stnJottalfal ta~lure orr requ~idng
major repair; or
._ 3) the ailicliaft is mi~ssing Oli is oo•plete,,y inaccessibte.
• b) An incident is an oecurremQe, ott'teli than an aec~dent, associated wi~h ttt,e
opeliaUon1of an aircrraft whiclll1a1ffects orr QQUildi affect tlfl1e sate-ty of oper'81tion. A
serious ine~dent is an ineideP1t ~nvolving e~£eumstan1ees ~ndfeating that an1
aecidient nealily oecurrliedi.
• The ICAO definitions use the word " occurrence" to indicate an accident or incident. j

Injuries to or death of
flight crewmembers,
passengers

l ......
......"'a«........•lGIIIIW..........

Ea¥PTRJR'F Development and Course Improvement
Ramp Damage Has Big Price
===~-==T~a~g For Airlines
Parts prices only
ain Entry Doo
$171 ,220
utboard Flap Assemb
$255,845
Inboard Flap
Assembly $224,872

Income lost
Event Direct Indirect L
• I
$4,800,000 $ ~7
Source: USAir/America West Airlines

Accidents Cost Small Operators, Too
Claim
Propell rm.kes
contactwith obj t
ongroun
HangarRash
FUgtltcancellation
p rday
$5,000
Fixed Wing Air H~elic-opter
Taxi Operation Air Taxi
$300,000 $900,00Q...- I
$150,000
$10,000

r
• Freedom from harm {Dictionary def'n.}.
• Safety is not equivalent to risk free (U.S.
Supreme Court, 19 0}.
• ''Risk management'' is a m re practical term
than ''safety.'' (Jerome Lederer ~1928}.
• Carelessness and verconfidence are more
dangierous than eliberatel accepted risk
(Willbur Wright, 1901}.
• Practical safety is ~~~~~~~~~,

r
)
is the I in which the risk of
harm to persons or property damage
is reduced to, and maintained at or
below, an acceptable level through a
..~~~ of
and

r Traditional approach - reventing accidents
• Focus on the
outcome(s).
• Unsafe acts at the tip
of the arrow.
• Bl~ame &punishment
for failure to ••perforra
safely''.
• Address specific safety
concern exclusively.
KIS

/
The BeatingsWill Continue Until Morale lm roves" " " " " ' = = = = = = = =

System Performance "In the Wild"
0pEru!lvrJ!JJ
!J~rJ~JvyrnfjJJ!
Operational
drift

"PracticaI
drift"

• Accident investigation
• Incident in~tigation

~y~!~IIJ
!J~~1~IJ ..--------------:::;;
C)p~tllllVIH.II
!J~pJoyii~Ill

ystems and
Air Safety Report - (normally) aircrew report on a safety incident
MOR: Mandatory Occurrence Reporting
I
;.!;~]!JE:n! 1
~fJ~ j ),.. U?ill ~ I
{E: f,)!Jfl~ I
I
Inefficient
drift"

r Emerging aradigm-Performance-Based System
DETERMINIISTIC
The world as it should be
ECOLOGICAL
The world as it is
,specifiecl - is·,imperfect
. "

r
» Policy-making
» Planning
»Communication
»Allocation ofresources .--__.---,
»Supervision
».....
Activities overwhich any organization has a
reasonable degree ofdirect control

Organizational processes
, Inadequate hazard
identification and risk
management
r------"--_____._-------~ , Normalization ofdeviance ,..----_..___-o::__
Conditions present in the system before the accident made
evident by triggering factors

:;technology
>Training
/ Regulations
Latent
conditions
__ Resources to protect againstthe risks that organizations
involved in production activities must confront

/ Workforce stability
/ Qualifications and
experience
/ Morale
/ Credibility
/ Ergonomics
- - - Factors that directly Influence the elflclency ofpeople In
aviation workplaces

Workplace
conditions
, Errors
~ , Violations
Actions orInactions bypeople (pilots~ controllers~
-------=---- maintenance engineers~ aerodrome stal, etc~) that
have an immediate adverse effect

Ea¥PTRIR~ Development and Course ImprovementTRAINING CENTER

_ (safety risk management

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SMS Part 1What is SMS?
..
'

r
s e
• At the end of this session trainees will be
familiar with Safety Management concept.

r
r
• Explain the goal f safety management and the
balance between roduction and rotection.
• Explain why safety is a core mana ement
function an must be manage t ensure
success and achievement of goals.
• Define and explain the terms of Hazard; Risk
and Risk Management.
• List afety management- building locks
and Responsibilities for Managing Safety

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- The First Ultra-Safe Industrial System
-The Business Management Perspective
- A Balanced Compromise
-The Dilemma
- Building Safety Resilience...
- Business Management Practices
- The Constant Balance
- Hazard and Risk Definitions
- Risk Assessment
- Eight building blocks of Safety management
- Responsibilities for anaging Safety
- Safety. Management - Excuses and Fearr

r
~J o-J
~J o-5
"J Q-7
The First Ultra-safe Industrial System
• lndhtidual risk management&
,_,..._. intensive training
• Aecident investigatien
less than one
catastrophicbteakdo
permillion production cycles
• Technology & regulations
• lnciCitent i·nlestigation

r
SAJDfiS
••asr••eurr
r
SU&ItISIIMI
IN THISAIBI.INE,
SAJiit
....

What Is the fundamental purpose of
a business organization?

r The Business Management Perspective
Manag,lng safety is one
such business process..
Safety management Is a
core bus,lness function
just as financial
m,anagement, HR
management, etc..

r
A Balanced Compromise
-~~~~~~~

r
The Dilemma
-~~~~~~~

r
The Dilemma
-~~~~~~~
Bankrupt-cy

Risk
(Piotectlon)
--Lo~v
esilience~~~
• 1
' ..REGULATIONS
SAFElY
SPACE
System output,.~

r •••Upon Business Manag Practices
>Safety Issues are a byproduct of activities
related to productlonlservlces delivery..
1 > Managing safety - A constant analysis of an
organization's resources and goals leading to :
~Balanced andlrealistic allocation of resources
--n protection and production goals..
~Support of the needs of the organization..

he Constant Balance
Production Goals Safety Goals
» Provision of services require a constant balance between Production Goals
and SafetyGoals..
» It may not be cosMtfectlve to ellmiMte many hazardous conditions, even
when operations must continue..

r Two
• - c·ondition, object or activity with the potential of
causing injuries to personnel, damage or loss of
material, or reduction of ability to perform a
prescribed function
• A witJdof 15Mots blowingdirfJCI/Iy ac~oss th6
1unway is a hazard
• - The chance of injury, damage/loss or reduction
of ability to perform, measured in terms of
p~robability and severity
• The possibility that a pilot may notbe able to
conlroJ the aircraft duRing tak.e~ oilor landing,
resulting,in an accident, is onerisk

Automation e·vents
Weather
Airport
construction
Missed approaches.
Heavy traffic
Incorrectly
perf,ormed
maintenance
CopyrigM €1 2008 Bc!eing. Unpublished Work. All rights ,reserved_
Unfamiliar phraseology
:rc procedures
imilar call signs
7
Terrain
Flight diversions
Aircraft system
failure

lsk Tolerablll
Assessm ntrisklndex uggested criteria

HAZARD
IDENTIFICATION
RISKASSESSMENT
• Severity /Critic.Uty
ss
-----~~~-
RISNASSESSMENT
• Probability ol~
RISKASSESSMENT
• Acceptability
RISKMITIGATION
i Is the consequent risk acceptable and within the organization's safety
performance criteria?
..
.-
. NO> Take action to reduce the
' risk to an acceptable level
I - -- - - - -
YES> Accept the risk
. ..

r...____ _ _ _ _ _ _ _ _ _~
•

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SMS Part 4 SRM
..
'

r Responsibilities for Managing Safety
Responsibilities
Four Basic Areas:

r Safety Management- Excuses and Fear
• Ritualistic rejection of
change
~--~----------------~~
• Cover-up, cosmetic
adaptation denying progress
• Engaging the will to change

Session No.3
Safety Management Standards

r
Objective
• At the end I this sessi n trainees will be
familiar with th ICAO at ty management
r uirem nts included in Annexe (s} 19 (1, ,
, 11, 13 and 14), and th ptian Civil
aviation Authorit CAA advis ry Circulars.

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• xplain the purp se f annex 1 , 1st edition
and basis.
1
• Explain the cone pt f acceptable level of
safety.
• xplain the requirements t ac
targets and safety in icators.

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• By the end of this course delegates will demonslliate understanding of the
following through presentations and facilitated di'scussion:
• The Big Picture
• Annex 19
• SMM 3rd Edition (Doe 9859, Final verrsion)
• What is a Safety Programme?
.. 23 November 2006
• What is an SMS?
• Safety Programme - SMS Relationships
• Acceptable Level of Safety
....... A- concept
- B- 'rnplementation
• Legal cons•derations

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• ame the applicabl aviati n legislation,
AA and ICA nnexes.
• Explain the legal requirements for a safety
managements stem and to impl ment th s
within the organization.

r.~____T_h_e__B_Ig_P_I_c_t _r_e____~

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Annex 19
• An Annex dedicated to
safety management to
re-enforce the role
played by the State in
managing safety at the
State level, stressing
the concept of overall
safety performance in
all domains, in
coordination with
service providers.

r Basis of Annex 19, 1st edition
Annex 6
Annex 8
Annex 11
Annex 13
Annex 14
Personnel Licensing;
Operation ofAircraft,
Part I International Commercial Air Transport -Aeroplanes,
Part II International General Aviation -Aeroplanes
Part Ill International Operations Helicopters;
Airworthiness of Aircraft;
Air Traffic Services;
Aircraft Accident and Incident Investigation; and
Aerodromes,
Volume I Aerodrome Design and Operations.

r SMM 3rd Edition (Doc 9859, Final version)
l
CH
1CH
( CH
CH
-SAFElY MANAGEMENT
1 FUNDAMENiTAlS
-ICAO SAFETY MANAGEMENT
2
SARPs
3 ....STATE SAFETY PROGRAMME (SSP)1
4
-SAFETY MANAGEMEN1 SVSTEM
(SMS)
(pre'lious SMM2.ndEditioo2.009 h.ad 11 Chapters)
Safety Management
Manual (SMM)
Appfovecl by the Seue-t.1ry General
" n d pubb~d under bi' >11l.l~ority
Third EOtion - 2013
lnternational Civil Aviation Organiz.ation

Scope
This EAC describes the requirements for all
certificate holders
This EAC addresses aviation safety
related processes and activities rather
than occupational safety, environmental
protection, or customer servicequality.
The certificate holder is responsible for
the safety of services or products
contracted to or purchased from other
organizations.
This EAC establishes the minimum
acceptable requirements; the certificate
holder can establish more stringent
requirements.
MiaU.ttyofc::iriAri_,liOil
E;::r,...... C......_A...U•• • .'-.<IIfl'i.l;r
EGYPTIANCIVILAVL<TIONAUTHORITY
EAC
No. 00 11
Oa«!CMJ.y, ZOlZ

r...____ _ _ _ _ _ _ _ _ _~
--- TABLE.OF CONTENTS
ITEM TITLE
SUBPAR1 Safety Management System
l A:
SUBPART Organizational Extensions
I
(
B: Safety Pra,ctices of
Contractors, Sub-
Contractors & Other Third
Parties
SUBPART Safety Management
C: Training!
SUBPART Fatigue Risk Management
0~
I
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~
f-1
~
~
-
~
--=
Wimlf)' of cnii .~.U. iOII
E::rp.O..• C....._A.U..... ..,_• ..,....,
EGYPTIANCIVILAVL4110NAUTHORITY
tz• !'. l l,n . o
EAC
No. 00 11
PJ(t l

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EAC00-13 Guidance On The DevelopmentOf An SMS Implementation Plan
For Service Providers (All Certificate Holders)
• Reference to develop an SMS
imptementation plan
• E:xptains how a s.ervice provider
organization will implement an SMS
on the basis of ECAA requirements
and i!nterna1tional standards and
rec-ommend1ed practices ~SARPS),
the system description and the
results of a gap anal:ysis.
• U is important to understand that the
suggested plan is intended to be
used1only as reference guidance.
• l;t may need to be ta~lored to meet
the need.s of each service provider.
l.li:Wcry.!Chi.oTilci••
fC"?W(li.... A........• Aoc.......,.
EGYPTL>~CIVILAVL4TION AUTHORITY
EAC
No. 00 13

r
The Big Picture
States SeN~ce roviders
SMS

An Integrated set of
regulations and activities
aimed at Improving safety
> Safety regulation.
»Safety oversight.
>Accident/Incident
Investigation.
»Mandatory/voluntary.
reporting systems.
>Safety data analysis.
»Safety promotion.

As of23 ovember 2006
States shall establish a safety programme, In order to
achieve an acceptable level of safety In:
The Provision Of
Air Traffic
Services.
Aeliodr:ome
Op~rations._

As of23 ovember 2006
States shall require, as part of their safety programme, that an f(Dpslfaler,
main.tenanceorganizatiDn, ATSfli!O.JVider, cettifiedaetrtfld:Fome0petra/01'!}
implements a safety management system accepted bv the State that:

r As of 23 ovember 2006
An accepted safety management system shall
clearly define lines of safety accountability
throughout the organization (sidlne,
A TSpm.,.,_,cetlllled
IJeiOdtotntlopenJiot-)a Including direct
accountability for safety on the part of senior
management..

r What Is an SMS?
A systematic approach to
managing safety, including
the necessary
organizational structures,
accountabilities, policies
and procedures.
)iio- Providers are responsible
for establishing an SMS.
~ States are responsible of
the acceptance and
oversight for providers'
SMS~

Safety Programme- SMS Relationships

r Acceptab e Lave of Safety
of an~~~~~~~~~~~~~~~
versight authority [ r a service provider .
~ p that s rvice
provid rs s ould achieve while conducting
their core business functions.
• re erence against which measuring safety
p rf rmanc .

Acceptab e Lave of Safety
• .. Implementation
• The relationship between acceptable level of safety, safety performance
indicators, safety performance targets and safety requirements is as
I
• Is the overarching
concept;
• The measures or
metrics to dletermine
if the acceptable level
of safety has been
achieved; and
• The tools or means to
achieve the safety
indicators and safety
targets.

The acceptable level of safetyto be achieved shall be
established by the State (s) concerned
Expressed in practical terms
by two measures or metrics
-
Deli1vered through various
tools and means.
Safety requirements.
• Operational procedures,
• technology and systems,
• programmes, and
• contingency arrangements

Safety Targets
)Ma be different or the same

at
uence indicators occurrence/outcome-based
Air operator individual fleet
monthly serious incident rate
e. er 1 000 FH
Air operator combined fleet
monthly serious incident rate
e. er 1 000 FH
Air operator engine IFSD Averrage +.
incident rate {e.g. per 1 000 FH) 1t2t3 SID ~aArnttal ar;
2 ar;l rreset

perator combined fleet
monthly incident rate {e.g. per
1 000 FH
perator internal QMS/SMS
nnual audit LEI 0
/o or findings
rate findin s er audit
perator voluntary hazard repo
rate {e.g. per 1 000 FH)
perator DGR incident report
rate {e.g. per 1 000 FH)
at
€ansideliatiorn

· · , availability andJ r
may be a d d
~ eJLa 1e a safe e 'I~ s. iS
dieploJtA snt an upgltlde ofthe 11adal!system in
all intelinaiJl!JnaJ a1iipod.s in Egypt: a 98pel!ee/j/jl
afiJaJ1abillily Dletilieal Bfillta:ipmenl.

>There will seldom be a single or national
acceptable level of safety.
»Different acceptable levels of safety will be
separately agreed between the oversight1
authority and Individual service providers.
»Each agreed acceptable level of safety should
be:
../proportionate to the complexity of Individual
service provider specific operatfonal context•
../availability of operator/services provider
resources.

s.

4
Example of Alpha Airline's SMS safety
performance measurement (say for the year 2010)
Lower -consequence safety performance indicator
More than 2S0
1o
Operatorinternal QMS annual average LEI or amy S0
1o improvementofthe
auditLEI 0
lo or findings rate Level1 finding or Yes 2010 average rateover Yes
(findings peraudit) more than S Level2 the 2009 average rate
firndings peraudit
Operatorvoluntary hazard report
TBD TBDrate (e.g. per 1 000 FH)
Average+ 1/2/3SO S0
1o improvementofthe
OperatorDGR incident report
(annual or 2 yearl~ No 2010 average rate over Yes
rate (e.g. per 1 000 F.H)
reset) the 2009 average rate

r A basic (screen shot) data analysis chart
Q)
..0
ro en
__. -~ c::
0 Q)
0... ""0
Q) --
~ (.)
- ca;:__
L- 0::::
Q)Q
..02
E._.
~
z
5.00
4.00
3.00
2.00
1.00
0.00
Beta Airline - Year 2009

r A continuous monitoring safety indicator chart
0.80
0.70
0.60
0.50
0.40
0.30
0.20
0.10
0.00
Jan Feb Mar Apr May June July Aug Sept Oct Nov Dec
t 2009 Alpha Airline monthly reportable
incident rate (per 1 000 FH)

Session No. 4
ICAOSMS 0

r
s e
• At the end f this Sessi n participants will
b able t describ the basic c mponents of
a Safet anagement ystem.

r
r
• List the components and elements of a
safety management system.
• Explain the components and elements of a
safety management system.

r Safety Management Systems
, A systemic approach to managing safety,
including the necessary organizational
structures, accountabilities, policies and
procedures..
c.985

r
ICAO SMS FRAMEWORK
-~~~~~~~
ICAOSMS
FRAMEWORK

r.~_____IC_A_O_S_MS_F_~__E_W_OR_K______~
• 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 ofthe
emergency response plan
• 1,6- Documentation

r
ICAO SMS FRAMEWORK
·~------------------------------------------~
• 2.1 - Hazard
identification processes
• 2,2 - Risk assessment
and mitigation processes
• 2,3 -- Internal safety
investigations

r
ICAO SMS FRAMEWORK
·~------------------------------------------~
• 3.1 - Safety performance
monitorin~g and
measurement
• 3.2 -The management
of change
• 3,3 - Continuous
improvement ofthe
safety system

r.~_____IC_A_O_S_MS_F_~__E_W_OR_K______~
• 4.1 - Training and
education~
• 4,2 - Safety
communication~

r OSafety Polley and Objectives
1..1 - Management commitment and responsibility
~ Identity the accountable executive
../Single~ identifia le person
../ Full res onsibility for the organization's SMS
~ CEO/Chairman Board of Dir-ectors
~ Develo and communicate, with visible
endorsement, the safety policy, signed by the
accountabl execrutive

r 1.2 - Safety Accountabilities
I I
--- 1 -t --
~
I I
~I I
I I
I I

> y i Dl!pol!ale funetions
../ dvising senio management n safety
matters
../Assisting line managers
../ verseeing hazard identification systems
> a
../Responsible individual and focal oint for the
develo ment and maintenance of an effective
safety management system

1..4- 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 Implementation strategy for the
SMS.
» Senior management endorses the plan..
» Typical Implementation time frame: one to four
______. years (Phased approach)..

1..4- SMS implementation plan -Contents
1) Safety policy.
2) Safety planning, objectives and goals.
3) System description.
4) Gap analysis.
5) SM1
S components.
6) Safety roles and responsibilities.
7) Safety reporting policy.
8} Means of employee involvement.
9) Safety communication.
10) Safety performance measurement.
11) Management review of the safety performance.

r OSafaty policy and objectives
, » ey instrum nt for c mmunicating the
organization's approach to safety t the
whole rganizati n.
t
» ocuments all aspects of the MS, including
the saf, ty p lie , bjectives, pr c dur s and
individual safet ace untabi ities.

Ea¥PTRJR'F Development and Course ImprovementTRAINING CEN TER
r OSafety policy and objectives
I' 1.6 - Documentation - SMSM contents
('scope of the safety management system I Safety performance monitoring
I' The safety policy and objectives I Emergency response planning
(
1
Safety accountabilities
I Management of change
I
I' Key safety personnel
I Safety auditing
I
I' Documentation control procedures I Safety promotion
!'Hazard identification and risk management
, schemes I Contracted activities

r 8Safety lsk Management
• -A formal means of collecting, recording, act·ing on
and generating feedback about hazards in operations
• Reactive
• Proacti~e
• Predicti~e
• - The analysis and elimination, and/or mitigation to
an acceptable level of risks that threaten the
capabilities of an organization
• The risk tolerability matri~

r esafety assurance
-~~~~~~~

r esafety assurance
-~~~~~~~
Rectifying situations involving below standard
performance identified through safety assurance
activities

r 8Safety Promotion
I Who?
• Operational personnel
• Managers and supervisors
• Senior managers
• Accountable executive
• Appropriate to the individual~s involvement in the SMS

r 8Safety Promotion
-~~~~~~~

r...____ _ _ _ _ _ _ _ _ _~
There's More Than
One Terrific Reason
to Be Safe at Work
THEY NEED US

r SMS Part 2 WHY IS SMS Important
..
'

Session No.
Roles And esponsibilities In
Safety Management System

r
I this Sessi n trainees will be
able to Identify and describe rganizati nal
structur s; explain h w t define lines of
authorit throug organizational charts;
make rec mmendati ns f r personnel
their r sponsi iliti s at their
rganization(s).

r
r
• Determine an organization's structure for Safety
Management including lines of communication
and authority.
Define safety accountabilities for all involved
with the safety management function.
• Define the responsibilities for managing the
safety management system and determine the
hierarchical levels where the responsibilities
would have to be carried out within the
organisation.

r
• Management Commitment And Responsibility
• Appointment of key safety personnel
• Responsi ilities f Safet Manager
• Safety Support Staff
• Safety Review Board SRB
• Safety Action Group SAG
• Seni~or managers
• Li~ne managers
______.
• Employees

r
• An important concept
in an effective safety
management system
fS S) is t at it is not
the,sole responsib·tity
•
of the com any's
safety office - •t ·
. . •t
it .
•
Senior Managers
• Senior managers are
responsible for establishing
and maintaining the SMS.
Line Managers
• Line managers carry out the
instructions of senior
management.
• Employee acceptance of the
SMS and safety programs is
essential for success.

r
Safety Accountabilities
~~~~~~~
Safety Review
Board (SRB)
---
~
I I
1 -t --I I
~I I
I I
I I

r
Safety Accountabilities
~~~~~~~
Safety Review
Board (SRB)
---

r
» tJta a
../Advising seni r mana ment n safety
matters.
../Assisting line managers.
../ vers ing hazard id ntificati s.

r
~ h f a a i a r s onsible individual
and focal point for the evelopment and
maintenance of an effective safet management
system.
• Advisin senior managem nt on safety matters.
• Assisting line managers.
• rse in hazard identification systems.
• Accountable individual and focal oint for the
develo ment and maintenance of an effectiv
safety managements stem.

r
• Manages the SMS implementation plan.
• acilitates hazard identification, risk ana ysis and
management.
• Monitors the effectiveness of corrective actio s.
• r vides periodic reports on safety performance.
• Maintains safety documentation.
• ans and organizes staff safety training.
• rovides independent advice on safety matters.

•
ti
t Etc).

----
---
I iiiiiiiiiiiiiiiliiiiiiiii
-t
==.A=~ I I ·~~..= =
r---__.__-=~ I I ~~~~
I I
I I

r
• The Safety Review Board (SRB) is a high level committee
which considers strate i afet ,functions.
, The Board sh ul be chaired y the Ace untable ana er
and shoul n rmally include the senior mana ement f the
organizati n.
• Membership of the Board and frequency of meetings should
be defined.
• Directors of the organisation may be included in the SRB.
• The SRB ensures that appropriate resources are allocated
to achieve the established safety performance and gives
strategic direction to the safety action group.

r
(a} Safety performance against the safety o ·cy
and objectives;
(b) Effecti1veness oft e S implementation pan;
(c) Effectiveness of the safety overs·ght of sub-
contracted organizations;
(d) Necessary corrective or mitigating acti ns are
being taken in a timely manner;
(e) Effectiveness of the organisationJs safety
management processes.

---
I iiiiiiiiiiiiiiiliiiiiiiii
-t
==.A=~ I I ·~~..= =
r---__.__-=~ I I ~~~~
I I
I I

r
•

r
•
(a) Operational sat ty of the safety risk
management processes;
(b) Ap,,prop,riate res lution and mitigati n
i entifi:ed risks;
(c) Assessment o the impact on sa ty f
operationa changes;
(d) lmplementatio of corrective acti lans;
(e) Corrective acti n is achieved within a ree
tim sea es;
(f) The effectiven ss of pre i us safety
rec mmendations and safety omoti1 n.

r
• Senior
managers
are
responsible
for
establishing
and
maintaining
the SMS.
~ Line]
managers
carry out
the
instructions
ofsenior
manageme
nt..
• Employee
acceptance
of the SMS
and safety
programs is
essential
for
success.

r
Senior managers are responsible for establishing and maintaining
the)SMS~ TheiJr roles and rrespon1sibilities include:
• Establishing ~ev.e~s of acceptable risk;
• Establishing safety policy;
• Establishing safety performance goalsthatareJin Une with other
company goals and he~p set a direction for improvement;
• Allocating su1fficient resources;
• Overseeing system performance-; and,
' Modifying poUc~es and goals~ as necessary~

r
line manag~ers carry out the instrueirons of senioli management by~
• Implementing safety prrogram.s;·
• Ensuring that staff reeehees satet~ training;
• Ensuring that staff has, and uses, safrety. equipment;·
• Enforcing satet~ rules;
• lneluding safety in performance reviews~
• Providing safety. coaehing to staff;
• Monitoring staff safetry performanee~ and,
• Conduetimg incident investigations.

r
Emplo·yee~ acceptance;of the SMS and safety. progr-ams is essentia~
for succe~ss and can be achieved!b·y having employees:
• He~p develop and estab~ish safety programs;
• Participate on safety committees;
• Follow estabUshed procedures and not take shortcuts;
• Assist in investigations;
• Report hazards and inci'dents; and,
'Prrovidefee-dbackto managers.

MANAGERS WILL CONSTANTLY BE PRESENTED WITH CH ICES.
IT I TH E H I - THAT T , Ml E T E , TH
ITI E'A Tl E.
TEACH THEM HOW T MAKE BETTER, I F01RME,D CHOICES.

r NATIONAL AIRLINES SMS VIDEO

0.6

r
f this

r
• Define the concept of culture and its impact on individuals, groups and
organizations,
• Describe the various cultures tha1t impact individuals, such as national,
professional and organiza'tional culture and explain the difference
between them.
• Understand and explain the importance of a positive organizational
culture for the success ofr the safety management system.
• indlicate the importance and measures of management commitment.

r
• Safety Culture Definition
• C m nents f Positi e Safety Cultur
• Characteristics Of iffer nt Safety Cultures
• Essential Values fA P sitive Safety Culture
• Senior management responsibility and
accountability
• The im rtan e of management c mmitment
• M asuring management c mmitment

r ult
fi i i n
• An enduring set f values, norms, attitu es, and
ractices within an rganization c ncerned
minimizin exposure of the workforce an th
general ublic to dangerous or hazardous
conditions. n iti at t ul u ~ a shar d
conce n for, commitment to, and accounta ilit
for safety is promoted.
.,.-A: the ivil

r Characteristics f Different Safety Cu tures

r
ositive af ty ulture
• Encourage employees to~ tell information
about aU hazards that they encounter,
• People are knowledgeable about the human,
technical, organizational and environmental factors
that determine the safety of the system as a whole.
~~~~~~~~{~~
• To adapt effectively to changing demands and
allow quicker, smoother reactions to off·
nominal •v•~a•
• Willing to change based on safety indicators
and hazards uncovered through assessments,
data, and incidents..'==
• Entployees are eneourraged and rewarded fof prev,iding
essential safety.retated infonnation but are held
aecountabre fof deliberateviolations of the litlles,

r
sitive

r
Safety Culture maturity levels (adapted from ECAST
2009b)
· ·~wna e:ar:es
a~s k>ngJaS
we're not
caught'~
• Safe~ is:
ilinportant;-
we do a tot
e'le~ ti•e
we haMe ap
aeeldep,t'~'
• ''~e nave
s,~s,tems in
plaeetQ
maJ1age all
ha,zarrds'"
., "we~Qiik
on the
p.robtems
that we stiU
findfr
• Safety, is.
howNedQ
business,
aroupd
here"'"

r
•
en1 ility an
Management responsibility and accountability for airline safety is larg,ely rooted in
the Convention on International Civil Aviat•on, Standards articulated in Annex 6 to
the Convention andlcorresponding!implementation by llnternational Civil Aviation
Organization tiCAO) Contracting!States.
• Broadly, these includ:e (Overall, 1998; Byron, 2001):
• Setting overall policy for implementation by functional operational managers;
, Satis~ing air opeliator certificate (AOC) req1utrements;
• Being available to the safety system;
• Setting1and specifying company safety standards;
• Verifying1that standards are known and accepted by everyone; and
• Ensuring that deviations from standards,are recognised, reponed and
corrected.

r he importance f mana ement commitment
na m m itm nt ma a
• The most important determinant of orkforc
satisfaction with safety and related c ntingency
measures;
• A factor explaining the highest variance in
safety elima~te scores;
• Th m st im rtant factor ifferentiating
organizations with differin levels of safet ; and
• he single most im rtant determinant f
ai line sat ty.

r Measuring management commitment
., Tttej{e ts a pub~ished safety, poUcy,
• Safety abject~ves afe c~ear~ stated,
• Strategtes and p~ans fof achtevingJsafety abjectives afejwdtten,
• Accidept ~nve~sttgation procedutres epsure Umel!y ideptificatton Cl!Pd
inllpteme~ntation of eorrecUve actions..
• ManagetrS atre drriven by, aP uiie,nding desi~re to impfove C<iunpany, saf~~
culturre~..
• Manag~ers attend safety meetiim~gs ~
• Managers adopt good]safe~ prraetice·s ~e~~g., wearing pelisona~ pliotectiv.e,
equJ~prnent)..
• Managerrs parrUc:i1pate~ rn1execu1Ung safety plans.
• Ma~~agers monitor apd periodica~IJy evaluate tt'te safe~ty progrralntne.
~ Managerrs pe~rsona~~y conduct safety, audits and inspectiJops,

r Measuring management commitment
- - - - - - - - - - - - - - - - - - - - -
Allocated resources i
'
I
• Managers pro¥ide budgets, staffing and facilit-ies for safety meetings.
• M!anagememt representatives are members of the safety committee.
• Managers are he~d aecountable for safety penorman~e, e.g'IJ,
paytpromotions are partially dependent on safety.
• Top managers recei'le and respond to safety com1mittee
rrecam~men-dations.
- - - - - - - - - - - - - - - - - - - - - -
Management training ,
I
•
• Managers regularrly attend safety activities outside the company.

Session No.7
lmplementlngS.Mce Providers SMS
Implementing the State's Programme

• s
-'

r
• Explain the purpose a Phased Approach to
SMS.
• Clarify Service Providers SMS
Implementation phases.
• Demonstrate familiarizati n f a ty
Programme- SMS Harmonization.

r
• Why a Phased Approach to SMS?
• Four implementation phases
- Phase 1
- Phase2
- Phase 3
- Phase4
• Sample SMS implementation schedule (Gantt chart)
• Safety Programme - SMS Harmonization
• State~s safety programme components
- 1. Safety policy and objectives
- 2. Safet~ risk mana~gement
- 3. Safety assurance
- 4. Safety promotion

[ Why a Phased Approach to SMS?
>To provide a manageable series of steps to
follow In Implementing an SMS.
>To effectively manage the workload
associated with SMS Implementation.
>To pre-empt a "ticking boxes, exercise
./Four Implementation phases are
proposed•
./Each phase Is based upon the Introduction
of specific SMS elements.

r
Four Implementation phases
• Orientation &
Commitment
• Planning &
Organization
2
•Reactive
Processes
3
•Proactive
Processes
• Continuous
Improvemen

Imp eme ting Service
rovid

r ,hase1
>Provides a blueprint on how the SMS
requirements will be met and Integrated to
the organization's work activities..
>Provides an accountability framework for the
Implementation of the SMS..

CAO SMS FRAMEWORK
E)!.r18!'J F{J2j~~ 1~J!.!J1!.!!JE-JJIJ8JJ!
ICAOSMS
FRAMEWORK
.. ij ··~-~

r ,hase1
1. Identify the accountable executive and the safety
accountabi ities of managers
1e e ts 1.,1a 1.2
2. Identify the person for planning group) within the
rganization responsible for ·mplementing the SMS
18 8 t 1.3
3. ascribe the system (Air operator, ATC services
provider, approved maintenance rganization,
certified aerodrome operator)
leme t 1.4

r ,hase1
Conducta ~!Jp !.ln!.!Jy~i~ ofthe organlzation~s existing resources
compared with the requirementsfor establishinga SMS~
Elemeltt1.4
S~ Developan SMS Implementation plan on the basis ofnational
requirements and International SARPs, the system descriptionand the
results ofthe gap analysis~
Element1.4
6~ Develop documentation relevanttosafety policyand objectives
Elementf.6
7~ Develop•nd establish meansforsafety communkation
ElementU

le: ap Analysis
= ~ Eile e_dit ~iew l_nsert FQrmat Iools Qata W indow tielp Ado !;;!e P D F
A B I c D I E F I G I H I I I J
1 P r-e lim ina r-y Air- C a r-r-ier- G a p Ana l y s i s T o o l !
r-2--
N ote : T his too l i s d esi g n e d t o b e u se d w i t h S M S Assu 1.-. n ce G uide . Rev 1 , and a h o u l d be v i ewed e l ecn o ni c.-.lly
f- 3 P a rti c i p a nt: L ocat i o n :
Over a ll Fn O ilS. D i s patc h MTC Cabin G I OU n d C a r o o Tra ln ln o
Assura n c e G ui d e Q u e sti o n A s s n it A s s nit A ssn It A ssn • A ssn • A SSi nt A SSi nt A SSi nt
4 Rating Rating Rating Rating Rating R atin g Rating Ratin g
Compone nt 1 . 0 S a f"e ty Polic y a n d
I5 Objecti ves
6 Policy: General E x pecta t ions
7 P e n o nnan ce O b j e cti ve
A service pro v ide r w ill d e v e l o p a nd imp le m e nt a n inte gra t e d.
comprehensive, SMS for it s ent ire organizat ion and will
incorporate a procedure t o identify and maintain compl iance
w it h c urre nt safe t y r e la t e d. reg u la t o ry. a nd oth e r
8 re quire m e nts .
~ Ele m e nt 1.1 S a f e ty P o lic y
~ P e n o n n a n c e O b j e cti v e
Top M a n agem e nt will d e fin e th e service pro vide r ' s safe t y
Ipolicy and c onvey the e x pectations and o bj ectives to its
1 1 emp loyees .
Eleme n t .,. 2 M anage m e n t
IC ommit ment and Sat'ety
~
A ccount abilities
1 3 P e n o n n a n ce O bj ecti ve
T o p M a n agem e nt will d e fi ne . docu ment , and c ommu n icat e
the roles. responsib ilit ies. and a u t horit ies regarding safet y
r--J-4 thro ughout it s org a nization .
~
Elem ent -t. 3 Key S a t'ety Perso nnel
16 P e n o nn a n c e Obj e cti v e
The service p r ovider will appoint a management
re present a t iv e t o m a n age , m o n it o r a nd coo rdin a t e th e S M S
1 7
1-
pro cesses thro u ghout it s org a ni z a t i o n .
Elem e n t '1.4 E merge ncy
1 8 P reparednes s a n d Resp o nse
f-.:l o
: --:--..;!]she~t1:Z~sheet2 U heet3 / II<II J~l

r ,hase2
Puts Into practice those elements of the SMS
Implementation plan that refer to:
» Safety risk management component-- Reactive
processes
Elements2.1~ 2.2snd2.3

r ,hase2
2.. Training relevant to:
> The SMS Implementation plan components
> The safety risk management component
(Reactive processes)
e .1
3.. Documentation relevant to:
> The SMS Implementation plan components
> The safety risk management component
(Reactive processes)
--- s 1. a 1.

r ,hase3
1.
2. redictive

r ,hase4
1~ Operational safety assurance
> Development of acceptable level (s) of safety
> Development of safety indicators and targets
> SMS continuous Improvement~
Eletnents 3.1, 3~ snd3.3
2~ Training relevant to operational safety assurance
Elt!Jment4.1
3~ Documentation relevant to operational safety
assurance~
Element 1.6

r Sample SMS implementation schedule (Gantt chart)

State's Safety
Programme
Components

r 1. Safety policy and objectives
>How the CAA will oversee the management
of safety In the State
./A definition of CAA requirements,
responsibilities and accountabilities
regarding the State safety programme..
./Similarto the equivalent SMS component..

r 2. Safety risk management
»Establishment of controls which govern how
service providers SMS will operate
./Requirements for service providers SMS
./Same processes as SMS (Hazard
Identification and risk management)
./Different outputs
lalewlmodlfied rules and/or regulations
(I.e.., controls) which govern how service
providers SMS operate..

r
3. Safety ranee
>Ensuring that the operation of service
providers SMS follows established controls
(requirements)
-/Oversight, Inspections and audits
-/Data tracking and analysis
Iii Data driven targeting of oversight on
areas of greater concern/need

r
4. Safety promotion
>Support the Integration of the State safety
programme with the operation of service
providers SMS..
./Training, communication and
dissemination of safety Information
./Dual-track promotion
mWithin the CAA
mAmong service providers It oversees

The lnal Objective -Integration
State Safety Programme SSP CAA
Service
Providers

SMS course for management staff

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