Transcript SAFETY MANAGEMENT SYSTEMS - COSCAP-NA

International Civil Aviation Organization
SAFETY MANAGEMENT
An introduction to safety management systems
(SMS)
SEARAST/SARAST
10 January 2007
OVERVIEW
COSCAP
 Safety Management
 An inside look
 Systems
 Management responsibilities
 Culture and organizations
 Safety and Objectives
 One way forward
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Different perception
Systems approach
SMS framework
ICAO contribution
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Concept of safety (ICAO)
COSCAP
 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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Safety
Traditional approach – Accident prevention
COSCAP
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Focus on outcomes (causes)
Unsafe acts by operational personnel
Attach blame/punish for failures to “perform safely”
Address identified safety concern exclusively
Identifies:
WHAT?
WHEN?
WHO?
 But not always discloses:
WHY?
HOW?
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Accident causes - a concept
COSCAP
Organization
Workplace
People
Defences
Accident
Latent conditions trajectory
Source: James Reason
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The organizational accident
COSCAP
Organizational processes
Improve
Monitor
Latent
conditions
Reinforce
Contain
Workplace
conditions
Active
failures
Identify
Defences
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Management responsibilities
COSCAP
Management commitment and responsibility
 Senior management must:
 Develop the safety policy, signed by the
accountable executive, in accordance to national
and international standards and organizational
priorities.
 Communicate, with visible endorsement, the
safety policy to all staff.
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Provide necessary human and financial
resources.
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Head of organization
COSCAP
Management commitment and responsibility
 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.
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The safety stereotype
COSCAP
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Is it?
COSCAP
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Really?
COSCAP
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Objective of an organization?
COSCAP
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The management dilemma
COSCAP
Management levels
Resources
Resources
Protection
Production
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The management dilemma
COSCAP
Protection
Production
Catastrophe
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The management dilemma
COSCAP
Production
Protection
Bankruptcy
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Why SM? An imperfect system
COSCAP
System
design
SMS
Operational
deployment
Baseline performance
Baseline performance
“Practical drift”
“Practical
drift”
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Levels of intervention and systems
COSCAP
Safety management levels
Baseline performance
Hazards
Predictive
FDA
Direct
observation
systems
Highly efficient
Proactive
ASR
Surveys
Audits
Very efficient
Desirable management
level
Reactive
ASR
MOR
Efficient
Reactive
Accident
and incident
organization
reports
Insufficient
“Practical
drift”
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The essential is invisible to the eyes
COSCAP
Number of occurrences
1–5
Accidents
30 – 100
Serious incidents
100 – 1000
Incidents
1000 – 4000
Latent conditions
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One way forward
COSCAP
 Different perception
 Safety management
 A system approach
 ICAO SMS framework
 Building the system
 Training
 Responsibilities
 Management process
 Training
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The changing of the guard
COSCAP
 Traditional – Accident/serious incident investigation
 Aviation system – as pre-specified – is perfect.
 Compliance based.
 Outcome oriented.
 Evolving – Safety management
 Aviation system – as pre-specified – is imperfect.
 Performance based.
 Process oriented.
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ICAO SMS FRAMEWORK
COSCAP
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Safety policy and objectives
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 of the emergency response plan
1.6 – Documentation
Safety risk management
2.1 – Hazard identification processes
2.2 – Risk assessment and mitigation processes
2.3 – Internal safety investigations
Safety assurance
3.1 – Safety performance monitoring and measurement
3.2 – The management of change
3.3 – Continuous improvement of the safety system
Safety promotion
4.1 – Training and education
4.2 – Safety communication
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Responsibilities for managing safety
COSCAP
These responsibilities fall into four basic areas:
 Definition of policies and procedures regarding
safety.
 Allocation of resources for safety management
activities.
 Adoption of best industry practices.
 Incorporating regulations governing civil aviation
safety.
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State safety programme
COSCAP
 An integrated set of regulations and activities
aimed at improving safety.
 States are responsible for establishing a
safety programme:
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Safety regulation
Safety oversight
Accident/incident investigation
Mandatory/voluntary reporting systems
Safety data analysis
Safety promotion
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The final objective
COSCAP
Safety programme + SMS = State integrated safety
management system
Protection
Production
Objective:
Public
safety
State
safety
programme
Oversight
Acceptance
Oversight
Objective:
Manage and
control
safety risk
Organization’s
safety
management
system (SMS)
Risk management
Safety assurance
Organization’s
production
processes
Objective:
Achieve
commercial
goals and
customer
satisfaction
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The safety management process
COSCAP
Identify
hazards
Re-evaluate
control
strategies
Implement
control
strategies
Assign
responsibilities
Collect
additional
hazard
data
Safety
management
process
Approve
control
strategies
Assess
risks
Prioritize
risks
Develop
elimination/
mitigation
strategies
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ICAO contribution
COSCAP
 SMS SARPS
 SMS Guidance Material
 Safety Management Manual (SMM)
 (DOC. 9859)
 SMS training
 Authorities
 Lead SMS implementation
 National training organizations
 Train-the-trainers
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Course goals
COSCAP
 The goals of the ICAO Safety Management
Systems (SMS) Course are to:
 provide participants knowledge of safety
management concepts and ICAO Standards and
Recommended Practices (SARPs) on safety
management in Annexes 6, 11 and 14, and related
guidance material; and
 develop participants’ knowledge to certify and
oversee the implementation of key components of
an SMS, in compliance with relevant ICAO SARPs.
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Course contents
COSCAP
 Module 1 –
SMS course introduction
 Module 2 –
Basic safety concepts
 Module 3 –
Introduction to safety management
 Module 4 –
Hazards
 Module 5 –
Risks
 Module 6 –
SMS regulation
 Module 7 –
Introduction to SMS
 Module 8 –
SMS planning
 Module 9 –
SMS operation
 Module 10 – Phased approach to SMS Implementation
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Course structure
COSCAP
Safety
Management
System
Module10
Phased approach to SMS
implementation
Module 8
SMS planning
Module 5
Risks
Module 1
SMS course introduction
Module 9
SMS operation
Module 6
SMS regulation
Module 2
Basic safety concepts
Module 7
Introduction to SMS
Module 3
Introduction to safety
management
Module 4
Hazards
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Evaluation of participants
COSCAP
 Daily progress evaluation
 A final evaluation test of one hour
duration will be administered on the last
day of the course.
 The evaluation test includes twenty (20)
questions of multiple choice answers.
 Minimum pass mark: 70%
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Why evaluation?
COSCAP
 The objective of the final evaluation test is to
verify that participants have understood the
basic principles of the planning,
implementation and operation of safety
management systems in order to be able to
certify and oversee operators and service
providers’ SMS according to ICAO
requirements.
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If you are, ICAO is…
COSCAP
 Are you ready?
 ICAO can assist
 Guidance material
 Training
 Other support
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Direct
indirect
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International Civil Aviation Organization
SAFETY MANAGEMENT
An introduction to safety management systems
(SMS)
St-Petersburg
12 – 13 December 2006