ICAO SMS M 10 - Approach (R013) 09 (E)

Module N 10 Phased approach to SSP and SMS implementation
Revision N 13
ICAO Safety Management Systems (SMS) Course
06/05/09
Course structure
Safety Management System Module 8

Module 5 Risks Module 1 SMS course introduction
Module N 10
Module 10 Phased approach to SSP and SMS Implementation Module 9 SMS operation
SMS planning
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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Objective
At the end of this module participants will be able to develop a proposal for an SMS standard, based upon a phased implementation, and explain the organization of a State
safety programme (SSP)
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Outline
Why a phased approach to SMS? The four phases The State safety programme (SSP) SSP initial steps in support of SMS implementation A vision of the future Integration Points to remember Exercise 10/01 Model of SMS regulation Outline of an SMS Standard Exercise 10/02 Collision between two aircraft at MilanoLinate International Airport (See Handout N 6)
Module N 10 ICAO Safety Management Systems (SMS) Course
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
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Phase 1 Planning
Provides: a blueprint on how the SMS requirements will be met and integrated to the organizations work activities, and an accountability framework for the implementation of the SMS
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Phase 1 Planning
1. Identify the Accountable Executive and the safety accountabilities of managers
2. Identify the person (or planning group) within the organization responsible for implementing the SMS 3. Describe the system (ATOs that are exposed to safety risks during the provision of their services, aircraft operators, AMOs, organizations responsible for type design and/or manufacture of aircraft, air traffic services providers and certified aerodromes) 4. Conduct a gap analysis of the organizations existing resources compared with the national and international requirements for establishing an SMS
Elements 1.1 and 1.2 (Module 8) Element 1.3 (Module 8)
Element 1.5 (Module 8)

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Phase 1 Planning
5. Develop an SMS implementation plan that explains how the organization will implement the SMS on the basis of national requirements and international SARPs, the system description and the results of the gap analysis
6. Coordinate emergency response planning with similar planning of interfacing organizations

7. Develop documentation relevant to safety policy and objectives 8. Develop and establish means for safety communication
Element 1.4 (Module 8) Element 1.5 (Module 8) Element 4.2 (Module 9)

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Phase 2 Reactive processes

1. Implement those elements of the SMS implementation plan that refer to the safety risk management component reactive processes 2. Training relevant to reactive processes: SMS implementation plan components. Safety risk management component 3. Documentation relevant to reactive processes: SMS implementation plan components. Safety risk management component
Elements 2.1 and 2.2 (Module 9)
Phase 3 Proactive and predictive processes

1. Implement those elements of the SMS implementation plan that refer to the safety risk management component proactive and predictive processes
Elements 2.1 and 2.2 (Module 9)
2. Training relevant to proactive and predictive processes
3. Documentation relevant to proactive and predictive processes

Phase 4 Operational safety assurance

1. Development and agreement on safety performance indicators and safety performance targets 2. Initiate safety performance monitoring and measurement, including the management of change and the continuous improvement of the SMS 3. Training relevant to operational safety assurance 4. Documentation relevant to operational safety assurance
Element 1.1 (Module 8) Elements 3.1, 3.2 and 3.3 (Module 9) Element 4.1 (Module 9)

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SMS implementation phases Summary

Timeline
PHASE I
Planning SMS Elements: 1.1; 1.2; 1.3 and 1.5 ; [and 1.4]
PHASE II
Implementation of reactive safety management processes Elements: 2.1 and 2.2
PHASE III
Implementation of proactive and predictive safety management processes Elements: 2.1 and 2.2
PHASE IV
Implementation of operational safety assurance Elements: 1.1; 3.1; 3.2 ;3.3 4.1 and 4.5
Develop documentation Element 1.5 Develop and establish means for safety communication Element 4.2 Develop and deliver training Element 4.1
The bridge
State
Service providers
SSP
SMS
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State safety programme

Definition An integrated set of regulations and activities aimed at improving safety.
Requirement
States shall establish a State safety programme (SSP), in order to achieve an acceptable level of safety in civil aviation.
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State safety programme

Implementation
Develop the State safety programme (SSP) around the following four components:
1. State safety policy and objectives 2. State safety risk management 3. State safety assurance
4. State safety promotion
Module N 10
ICAO SSP framework

1. State safety policy and objectives 1.1 State safety legislative framework 1.2 Safety responsibilities and accountabilities 1.3 Accident and incident investigation 1.4 Enforcement policy 2. State safety risk management 2.1 Safety requirements for service providers SMS 2.2 Agreement on service providers safety performance 3. State 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 4. State safety promotion 4.1 Internal training, communication and dissemination of safety information 4.2 External training, communication and dissemination of safety information
SSP initial steps in support of SMS implementation

STEP 1
Conduct a gap analysis of the SSP, in order to ascertain the status of maturity and existence within the State of the elements of an SSP.
STEP 2
Develop an SMS training programme for the State safety oversight authority staff.
STEP 3
Develop SMS regulations for service providers. Prepare guidance material for the implementation of SMS.
STEP 4
Revise the State enforcement policy.
Module N 10

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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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
State
ALoS
Safety performance
Service providers
SSP
SMS
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A vision of the future Integration

State safety programme (SSP) + Service providers SMS = Integrated safety system (ISS) Production Protection
Objective: Safety risk management
State Safety Programme (SSP)
State
Acceptance Compliance oversight Objective: Safety risk management
Performance-based oversight Objective: Support production goals and customer satisfaction
Services provider
Organizations Safety Management system (SMS)

Safety assurance
Service delivery
Module N 10
Points to remember
1. Reduce a complex task to a series of manageable steps 2. Avoid a bureaucratic exercise (Ticking boxes) 3. Element allocation under a particular phase may slightly vary depending upon the specific Annex 4. The State safety programme (SSP) framework
5. SSP initial steps in support of SMS implementation
Module N 10
Phased approach to SSP and SMS implementation
Exercise 10/01 Model of SMS regulation Outline of a SMS standard
Module N 10
SMS model regulation Outline of a SMS Standard

Group activity: A facilitator will be appointed, who will coordinate the discussion A summary of the discussion will be written on flip charts, and a member of the group will brief on their findings in a
plenary session
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SMS model regulation Outline of a SMS Standard

Group assignment: On the basis of what was presented and discussed in modules 6 to 9, develop a model of SMS regulation, that addresses the following three general areas: 1. Scope and application 2. Main definitions (Do not develop) 3. General contents (Only headlines) of the SMS regulation
Module N 10
Phased approach to SSP and SMS implementation
Exercise 10/02 Collision between two aircraft at Milano-Linate International Airport (Handout N 6)
Module N 10
Milano-Linate International Airport accident

Group activity:
A facilitator will be appointed, who will coordinate the discussion

A summary of the discussion will be written on flip charts, and a member of the group will brief on their findings in a plenary session
Module N 10

Scenario An MD-87 taxied to the holding point for runway 36R. Heavy fog had delayed the flight by more than one hour. While the visibility was improving, RVR was still only 225 metres A Cessna Citation parked at the West Apron was cleared to taxi via taxiway Romeo 5 and to report reaching the first holding point. The crew read the clearance back correctly, but entered taxiway Romeo 6

... Scenario The Cessna Citations crew called for clearance to proceed from the Romeo 5 holding point though it was in fact at the Romeo 6 holding point The MD-87 was cleared for take-off The Cessna Citation crossed the holding point for runway 36R-18L The two aircraft collided The MD-87 skidded off the runway into a baggage hangar adjacent to the passenger terminal
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Module N 10
Module N 10
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After analysis of evidence available and information gathered, it can be assumed that the immediate cause for the accident has been the runway incursion in the active runway by the Cessna
The obvious consideration is that the human performance issues related to the Cessna crew during low visibility conditions must be weighted against the scenario that allowed the course of events that led to the fatal collision
Module N 10

Equally it can be stated that the system in place at MilanoLinate aerodrome was not geared to trap misunderstandings, inadequate procedures, human errors and faulty airport layout
The aerodrome standard did not comply with ICAO Annex 14

No functional Safety Management System (SMS) was in operation
Module N 10

Group assignment Task N 1 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 risk(s) Assess existing defences to control the risk(s) and resulting risk index Propose further action to reduce the risk(s) and resulting risk index Establish individual responsibility to implement the risk mitigation Complete the following Table 10/01
Table 10/01 Hazard identification and risk management

N Type of operation or activity Generic hazard Specific components of the hazard Hazard-related consequences Existing defences Further action to to control risk(s) reduce risk(s) and Responsible person and risk index resulting risk index
Risk index: Risk tolerability:
5
Module N 10

Group assignment Task N 2
The accident investigation has identified that no functional Safety Management System (SMS) was in operation at Milano-Linate International Airport
Therefore you should: Develop an SMS implementation plan for MilanoLinate International Airport Complete the Gantt chart in Table 10/02 SMS implementation plan
Table 10/02 SMS implementation plan

N Component/element Date: Date: Date: Date:
Module N 10
Milano-Linate aerodrome layout
Module N 10
Module N 10 Phased approach to SSP and SMS implementation
Revision N 13
06/05/09

ICAO SMS M 10 - Approach (R013) 09 (E)

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What is the objective of this module?

What is the objective of this module?

What are the four phases of SMS implementation proposed?

What are the four phases of SMS implementation proposed?

Module N 10 Phased approach to SSP and SMS implementation

ICAO Safety Management Systems (SMS) Course

Safety Management System Module 8

Module 6 SMS regulation Module 2 Basic safety concepts

Module 7 Introduction to SMS

Module 3 Introduction to safety management

ICAO Safety Management Systems (SMS) Course

safety programme (SSP)

ICAO Safety Management Systems (SMS) Course

Why a phased approach to SMS?

To pre-empt a ticking boxes exercise

ICAO Safety Management Systems (SMS) Course

ICAO Safety Management Systems (SMS) Course

Elements 1.1 and 1.2 (Module 8) Element 1.3 (Module 8)

Element 1.5 (Module 8)

Element 1.5 (Module 8)

6. Coordinate emergency response planning with similar planning of interfacing organizations

Element 1.4 (Module 8) Element 1.5 (Module 8) Element 4.2 (Module 9)

Phase 2 Reactive processes

Elements 2.1 and 2.2 (Module 9)

Element 4.1 (Module 9)

Element 1.5 (Module 8)

Phase 3 Proactive and predictive processes

2. Training relevant to proactive and predictive processes

Element 4.1 (Module 9)

3. Documentation relevant to proactive and predictive processes

Element 1.5 (Module 8)

Phase 4 Operational safety assurance

Element 1.5 (Module 8)

SMS implementation phases Summary

ICAO Safety Management Systems (SMS) Course

State safety programme

ICAO Safety Management Systems (SMS) Course

State safety programme

4. State safety promotion

ICAO Safety Management Systems (SMS) Course

ICAO SSP framework

SSP initial steps in support of SMS implementation

ICAO Safety Management Systems (SMS) Course

SSP initial steps in support of SMS implementation

ICAO Safety Management Systems (SMS) Course

SSP initial steps in support of SMS implementation

ICAO Safety Management Systems (SMS) Course

ICAO Safety Management Systems (SMS) Course

A vision of the future Integration

State Safety Programme (SSP)

Acceptance Compliance oversight Objective: Safety risk management

Performance-based oversight Objective: Support production goals and customer satisfaction

Organizations Safety Management system (SMS)

ICAO Safety Management Systems (SMS) Course

5. SSP initial steps in support of SMS implementation

ICAO Safety Management Systems (SMS) Course

Phased approach to SSP and SMS implementation

Exercise 10/01 Model of SMS regulation Outline of a SMS standard