ICAO Safety Management Systems SMS Course

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ICAO Safety Management Systems Presentation to
APATS
Capt. Len Cormier
Hong Kong China September 2009
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The safety stereotype
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Is it?
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Really?
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What is the fundamental objective of a business
organization?
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Safety management Rationale

• In order to achieve its production objectives,
  the management of any aviation organization
  requires the management of many business
  processes.
• Managing safety is one such business process.
• Safety management is a core business function
  just as financial management, HR management, etc.
• There is no aviation organization that has been
  created to deliver only safety.
• This brings about a potential dilemma for
  management.

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The management dilemma
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Safety management The response to the dilemma

• Safety issues are a by-product of activities
  related to production/services delivery.
• An analysis of an organization's resources and
  goals allows for a balanced and realistic
  allocation of resources between protection and
  production goals, which supports the needs of the
  organization.
• The product/service provided by any aviation
  organization must be delivered safely (i.e.
  protecting users and stakeholders).

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Why SM ? The first ultra-safe industrial system

• Fragile system (1920s -1970s)
• Individual risk management intensive training
• Accident investigation

• Safe system (1970s mid 1990s)
• Technology and regulations
• Incident investigation

• Ultra-safe system (mid 1990s onwards)
• Business management approach to safety (SMS)
• Routine collection and analysis of operational
  data

Less than one catastrophic breakdown per million
production cycles
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The imperative of change

• As global aviation activity and complexity
  continues to grow, traditional methods for
  managing safety risks to an acceptable level
  become less effective and efficient.
• Evolving methods for understanding and managing
  safety risks are necessary.

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Concept of safety

• Consider (the weaknesses in the notion of
  perfection)
• The elimination of accidents (and serious
  incidents) is unachievable.
• Failures will occur, in spite of the most
  accomplished prevention efforts.
• No human activity or human-made system can be
  guaranteed to be absolutely free from hazard and
  operational errors.
• Controlled risk and controlled error are
  acceptable in an inherently safe system.

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Concept of safety (Doc 9859)

• 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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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

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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.

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The components of SMS

• Safety policy and objectives
• Safety risk management
• Safety assurance
• Safety promotion

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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

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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

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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

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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 and
• 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.

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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.
• ...

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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
  organizations affairs.
• Final authority over operations under
  certificate.
• Final responsibility for all safety issues.

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States safety programme (SSP)

• States shall establish a safety programme, in
  order to achieve an acceptable level of safety in
  the operation of aircraft, the maintenance of
  aircraft, the provision of air traffic services,
  aerodrome operations
• An integrated set of regulations and activities
  aimed at improving safety.

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States safety programme

• Implementation
• Develop the States safety programme around the
  following four components
• States safety policy and objectives
• States safety risk management
• States safety assurance
• States safety promotion

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States safety programme framework

• States safety policy and objectives
• 1.1 CAA safety standards
• 1.2 CAA safety responsibilities and
  accountabilities
• 1.3 Accident and incident investigation
• 1.4 Enforcement policy
• States safety risk management
• 2.1 Safety requirements for service providers
  SMS
• 2.2 Approval of service providers acceptable
  levels of safety
• States safety assurance
• 3.1 Safety oversight
• 3.2 Safety data collection, analysis and
  exchange
• 3.3 Safety data driven targeting of oversight on
  areas of greater concern or need
• States safety promotion
• 4.1 Internal training, communication and
  dissemination of safety information
• 4.2 External training, communication and
  dissemination of safety information

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SSP initial steps in support of SMS implementation

• The service providers SMS cannot effectively
  perform either in a regulatory vacuum, or in an
  exclusively compliance-oriented environment.
• In such environments, service providers will only
  implement and demonstrate, and the State
  authorities will only assess, the tokens of an
  SMS.
• In such environments, service providers will not
  be able to implement, or the State authorities
  will be not able to assess, effectively
  performing SMS.

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SSP initial steps in support of SMS implementation

• Effectively performing SMS by service providers
  can only flourish under the enabling umbrella
  provided by an SSP.
• The SSP is therefore a fundamental enabler for
  the implementation of effective SMS by service
  providers.

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The bridge
Civil Aviation Authority
Service Providers SMS
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The bridge
Civil Aviation Authority
Service Providers SMS
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A vision of the future Integration
Objective Control of safety risks
Performance Acceptable levels of safety
(objectives) Collection, analysis and data
follow-up
State
Prescription Inspections Audits
Objective Control of safety risks during
service delivery
Service delivery
Service provider
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Documentation Three valuable resources

• The CD-ROM with background information
• ICAO Manuals and Circulars
• Documentation from CASA, FAA, TC and UKCAA
• Various forms and examples
• The ICAO Safety management System (SMS) website
• www.icao.int/anb/safetymanagement
• The ICAO flight safety information exchange
  website
• www.icao.int/fsix

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APATs
Thank you
Hong Kong, China September 2009