ICAO SMS Module #8 - SMS Planning 2008-11 (E)

Building an SMS
Safety Module 10
Phased approach to
Management SMS Implementation
System
Module N 8 SMS Module 8 Module 9
SMS planning SMS operation
planning
Module 5 Module 6 Module 7
Risks SMS regulation Introduction to SMS
Module 1 Module 2 Module 3

Introduction Module 4
SMS course Basic safety to safety
introduction concepts Hazards
management
Revision N 11 ICAO Safety Management Systems (SMS) Course 02/10/08 Module N 8 ICAO Safety Management Systems (SMS) Course 2
Objective Outline
When completing the module the participants will be able to The components of SMS
The elements of SMS
describe the requirements associated to the planning of an
Safety policy and objectives
SMS, and explain the structure of an SMS implementation
Questions and answers
plan.
Points to remember
Exercise 08/01 Cuzco International Airport operation
(See Handout N 5)
Module N 8 ICAO Safety Management Systems (SMS) Course 3 Module N 8 ICAO Safety Management Systems (SMS) Course 4
ICAO Safety Management Systems (SMS) Course

Module N 8 SMS planning
The components of SMS The elements of SMS
n Safety policy and objectives n Safety policy and objectives

1.1 Management commitment and responsibility
o Safety risk management 1.2 Safety accountabilities of managers
p Safety assurance 1.3 Appointment of key safety personnel
1.4 SMS implementation plan
q Safety promotion
1.5 Coordination of emergency response planning
1.6 Documentation
o Safety risk management
2.1 Hazard identification processes
2.2 Risk assessment and mitigation processes
The elements of SMS ICAO SMS framework

p Safety assurance n Safety policy and objectives
3.1 Safety performance monitoring and measurement 1.2 Safety accountabilities of managers
1.3 Appointment of key safety personnel
3.2 The management of change 1.4 SMS implementation plan
3.3 Continuous improvement of the SMS 1.6 Documentation
q Safety promotion 2.1 Hazard identification processes
4.1 Training and education p Safety assurance
3.1 Safety performance monitoring and measurement
4.2 Safety communication 3.2 The management of change
3.3 Continuous improvement of the SMS
q Safety promotion
4.1 Training and education
4.2 Safety communication

nSafety policy and objectives nSafety policy and objectives
1.1 Management commitment and responsibility 1.1 Management commitment and responsibility
Senior management must:
Senior management must:
Develop the safety policy, signed by the accountable
executive. The safety policy must include a commitment to: Communicate, with visible endorsement, the safety
Achieve the highest safety standards. policy to all staff.
Observe all applicable legal requirements and Establish safety objectives and performance
international standards, and best effective practices. standards for the SMS.
Provide appropriate human and financial resources.
Enforce safety as one primary responsibility of all The safety objectives and performance standards
managers. should be linked to the safety performance
Ensure that the policy is understood, implemented and indicators, safety performance targets and safety
maintained at all levels. requirements of the SMS.

1.1 Management commitment and responsibility 1.1 Management commitment and responsibility
Identify the accountable executive Accountable executive must have:
Single, identifiable person. Full authority for human resources issues.
Full responsibility for the organizations SMS Authority for major financial issues.
Direct responsibility for the conduct of the organizations
CEO/Chairman Board of Directors
affairs.
A partner
Final authority over operations under certificate.
The proprietor Final responsibility for all safety issues.

ICAO SMS framework nSafety policy and objectives
n Safety policy and objectives
1.1 Management commitment and responsibility 1.2 Safety accountabilities of managers
1.2 Safety accountabilities of managers
SMS organization
1.6 Documentation Safety responsibilities of key personnel
p Safety assurance
3.2 The management of change
q Safety promotion
Safety responsibilities An example ICAO SMS framework

Safety Accountable executive n Safety policy and objectives
Review 1.1 Management commitment and responsibility
Board (SRB) 1.2 Safety accountabilities of managers
Head of Head of Heads of
operations maintenance other areas
1.6 Documentation
Safety services 2.1 Hazard identification processes
office 2.2 Risk assessment and mitigation processes
p Safety assurance
Flight Maintenance 3.2 The management of change
safety officer safety officer 3.3 Continuous improvement of the SMS
Safety Action q Safety promotion
Group(s) 4.1 Training and education
(SAG) 4.2 Safety communication

Safety responsibilities nSafety policy and objectives
Safety Accountable executive
Review 1.3 Appointment of key safety personnel
Board (SRB)
The safety office Corporate functions
Advising senior management on safety matters.
Safety services
office
Assisting line managers.
Overseeing hazard identification systems.

Flight Maintenance
safety officer safety officer
Safety Action
Group(s)
(SAG)

The safety manager Functions
The safety manager Responsibilities Manages the SMS implementation plan on behalf of the
accountable executive.
Responsible individual and focal point for the Facilitates hazard identification and risk analysis and
development and maintenance of an effective safety management.
Monitors corrective actions to ensure their
management system. accomplishment.
Provides periodic reports on safety performance.
Maintains safety documentation.
Plans and organizes staff safety training.
Provides independent advice on safety matters.

nSafety policy and objectives Safety responsibilities
1.3 Appointment of key safety personnel Safety
Review
Accountable executive
Board (SRB)
The safety manager Selection criteria
Operational management experience and technical Head of Head of Heads of
background to understand the systems that support
operations.
Safety services
People skills. office
Analytical and problem-solving skills.

Flight Maintenance
Project management skills.
Safety Action
Oral and written communications skills. Group(s)
(SAG)

1.3 Appointment of key safety personnel 1.3 Appointment of key safety personnel
The Safety Review Board (SRB): SRB monitors :
Safety performance against the safety policy and
High level committee objectives.
Strategic safety functions Effectiveness of the SMS implementation plan.
Effectiveness of the safety supervision of sub-contracted
Chaired by the accountable executive.
operations.
It may include the Board of Directors. SRB ensures that appropriate resources are allocated to
Composed of heads of functional areas. achieve the established safety performance.
SRB gives strategic direction to the SAG.

Safety responsibilities nSafety policy and objectives
Safety Accountable executive
Review 1.3 Appointment of key safety personnel
Board (SRB)
Safety Action Group(s) (SAG):
Reports to SRB and takes strategic direction from SRB.
Safety services
office
Members:
Managers and supervisors from functional areas.

Flight Maintenance
Front-line personnel.
Safety Action
Group(s)
(SAG)
nSafety policy and objectives ICAO SMS framework

1.3 Appointment of key safety personnel n Safety policy and objectives
SAG: 1.2 Safety accountabilities of managers
Oversees operational safety within the functional area. 1.3 Appointment of key safety personnel
Resolves identified risks. 1.5 Coordination of emergency response planning
Assesses the impact on safety of operational changes. 1.6 Documentation
Implements corrective action plans. o Safety risk management
Ensures that corrective action is taken in a timely 2.2 Risk assessment and mitigation processes
manner. p Safety assurance
Review the effectiveness of previous safety 3.2 The management of change
recommendations. 3.3 Continuous improvement of the SMS
Safety promotion. q Safety promotion

1.4 SMS implementation plan 1.4 SMS implementation plan Contents
1) Safety policy
Developed by a planning group, which: 2) Safety planning, objectives and goals
Comprises an appropriate experience base. 3) System description
4) Gap analysis
Meets regularly with senior management. 5) SMS components
Receives resources (including time for meetings). 6) Safety roles and responsibilities
7) Safety reporting policy
A realistic strategy for the implementation of an SMS that 8) Means of employee involvement
will meet the organizations safety needs. 9) Safety training
10) Safety communication
A definition of the approach the organization will adopt for 11) Safety performance measurement
managing safety. 12) Management review (of safety performance)

1.4 SMS implementation plan n Safety policy and objectives
1.2 Safety accountabilities of managers
Senior management endorses the plan. 1.3 Appointment of key safety personnel
Typical implementation time frame will be one to four years 1.5 Coordination of emergency response planning
ahead. 1.6 Documentation
See Module 10 Phased approach to SMS 2.1 Hazard identification processes
Implementation. p Safety assurance
3.2 The management of change
q Safety promotion

1.5 Coordination of emergency n Safety policy and objectives
response planning 1.2 Safety accountabilities of managers
Emergency response planning outlines 1.3 Appointment of key safety personnel
in writing what should be done after an 1.5 Coordination of emergency response planning
accident, and who is responsible for 1.6 Documentation
each action. o Safety risk management
Airport Emergency Plan (AEP) 2.2 Risk assessment and mitigation processes
Contingency Plans (ATC) p Safety assurance
Emergency Response Plan 3.2 The management of change
(Operators) 3.3 Continuous improvement of the SMS
The coordination of the different plans q Safety promotion
should be described in the SMS Manual 4.2 Safety communication

1.6 Documentation 1.6 Documentation SMSM
Applicable regulations Key instrument for

communicating the
SMS records and documentation organizations approach to
safety to the whole organization.
Records management
Documents all aspects of the
The safety management system manual (SMSM) SMS, including the safety policy,
objectives, procedures and
individual safety accountabilities.

nSafety policy and objectives Conclusion
1.6 Documentation 6. Hazard identification and The successful management of safety is a functional
SMSM contents risk management
1. Scope of the safety schemes responsibility that requires the participation of all
management system. 7. Safety performance operational personnel and the supervision of the
2. The safety policy and monitoring.
objectives. 8. Emergency response organization (Systematic).
3. Safety accountabilities. planning.
This principle must be reflected in the structure of the
4. Key safety personnel. 9. Management of change.
5. Documentation control 10. Safety auditing. organization (Explicit).
procedures. 11. Safety promotion.
12. Contracted activities.
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

SMS planning
include hazard identification, risk management, safety
assurance and safety promotion (Proactive).
Questions and answers

Questions and answers Questions and answers
Q: What are the elements of the SMS component Safety Q: What does the SMS element safety accountabilities of
risk management?
managers comprise?
A:
A:
2.2 Risk assessment and mitigation processes SMS organization.
Safety responsibilities of key personnel.
Slide number: 6 Slide number: 14

Questions and answers Questions and answers

Q: What is the safety manager selection criteria? Q: List five subjects that should be included in the contents of the
Safety management system manual (SMSM).
A: A:
Operational management experience and technical Scope of the safety management system
background to understand the systems that support The safety policy and objectives
operations. Safety accountabilities
Key safety personnel
People skills. Documentation control procedures
Analytical and problem-solving skills. Hazard identification and risk management schemes
Project management skills. Safety performance monitoring
Emergency response planning
Oral and written communications skills. The management of change
Slide number: 21 Slide number: 37

Points to remember
1. The four components of an SMS.
2. The elements of an SMS.
3. The importance of documenting safety responsibilities.
4. SRB, SAG and the safety services office.
5. The SMS implementation plan.
6. The SMSM. SMS planning
Exercise 08/01 Cuzco International

Airport operation (Handout N 5)
Cuzco International Airport operation Cuzco International Airport operation
Group activity: + 15.000 ft

Hazard assessment of the operation.
A facilitator will be appointed, who will coordinate the Control and/or mitigation of the risks
discussion. + 15.000 ft
+ 15.000 ft
Velazco Astete Airport
A summary of the discussion will be written on flip Elevation 10.656 ft
charts, and a member of the group will brief on their + 15.000 ft
findings in a plenary session.
+ 15.000 ft

Velazco Astete Airport + 16.000 ft
Elevation 10.656 ft
Threshold 28
Threshold 10 City of Cuzco
Threshold 28
+ 16.000 ft
Threshold 28
Threshold 10 + 16.000 ft
Threshold 28
City of Cuzco
Threshold 10

Cuzco Airport characteristics and operation Cuzco Airport characteristics and operation
VMC and day-light aircraft operation In case of engine fire, engine-out or emergency condition
return to airport is mandatory, except if the aircrafts weight
Landing on runway 28 only. and performance allow the aircraft to comply with obstacle
clearance net trajectory.
Take-off on runway 10 only. Katabatic wind forces tailwind take offs from approximately
16:00 hours daily.
No ILS approach is available.
VOR used for instrument letdown (URCOS) not located at
the aerodrome.
Cuzco Airport characteristics and operation What is the safety concern?
Issues to be considered:
Aerodrome In-flight procedures.
infrastructure.
Documentation
Navigational radio aids.
Training:
Weather conditions.
Pilots and cabin
Aircraft performance. crew
Flight dispatchers
Safety ground crew

Table 08/01 Hazard identification and risk
Cuzco International Airport operation management
Your task:
Type of Specific Existing defences Further action to
List the type of operation or activity. N operation
Generic
hazard
components
of the hazard
Hazard-related
consequences
to control risk(s) reduce risk(s) and Responsible
person
or activity and risk index resulting risk index
State the generic hazard(s)
State the specific components of the hazard(s). 1 Risk index:
Risk tolerability:
Risk index:
Risk tolerability:
State the hazard-related consequences and assess the
risk(s). 2 Risk index:
Risk tolerability:
Risk index:
Risk tolerability:
Assess existing defences to control the risk(s) and
resulting risk index. 3 Risk index:
Risk tolerability:
Risk index:
Risk tolerability:
Propose further action to reduce the risk(s) and resulting
risk index. 4 Risk index: Risk index:
Establish individual responsibility to implement the risk Risk tolerability: Risk tolerability:
mitigation 5 Risk index: Risk index:

Complete the attached log (Table 08/01). Risk tolerability: Risk tolerability:
Module N 8 SMS
planning
Revision N 11 ICAO Safety Management Systems (SMS) Course 02/10/08


ICAO SMS Module #8 - SMS Planning 2008-11 (E)

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Building an SMS

Module 1 Module 2 Module 3

ICAO Safety Management Systems (SMS) Course

n Safety policy and objectives n Safety policy and objectives

The elements of SMS ICAO SMS framework

ICAO Safety Management Systems (SMS) Course

nSafety policy and objectives nSafety policy and objectives

ICAO Safety Management Systems (SMS) Course

Safety responsibilities An example ICAO SMS framework

ICAO Safety Management Systems (SMS) Course

Overseeing hazard identification systems.

nSafety policy and objectives nSafety policy and objectives

ICAO Safety Management Systems (SMS) Course

Analytical and problem-solving skills.

nSafety policy and objectives nSafety policy and objectives

ICAO Safety Management Systems (SMS) Course

Managers and supervisors from functional areas.

nSafety policy and objectives ICAO SMS framework

ICAO Safety Management Systems (SMS) Course

nSafety policy and objectives ICAO SMS framework

ICAO Safety Management Systems (SMS) Course

nSafety policy and objectives nSafety policy and objectives

Applicable regulations Key instrument for

ICAO Safety Management Systems (SMS) Course

The organization must define, document and communicate

The means to manage safety within the organization

ICAO Safety Management Systems (SMS) Course

Safety responsibilities of key personnel.

Slide number: 6 Slide number: 14

Questions and answers Questions and answers

ICAO Safety Management Systems (SMS) Course

Exercise 08/01 Cuzco International

Cuzco International Airport operation Cuzco International Airport operation

Group activity: + 15.000 ft

charts, and a member of the group will brief on their + 15.000 ft

findings in a plenary session.

ICAO Safety Management Systems (SMS) Course

Threshold 10 City of Cuzco

Velazco Astete Airport

Cuzco International Airport operation Cuzco International Airport operation

Velazco Astete Airport

ICAO Safety Management Systems (SMS) Course

Cuzco Airport characteristics and operation What is the safety concern?

ICAO Safety Management Systems (SMS) Course

mitigation 5 Risk index: Risk index:

Revision N 11 ICAO Safety Management Systems (SMS) Course 02/10/08

ICAO Safety Management Systems (SMS) Course

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