Module 2

Introduction to Safety
Management
 SMS Course Outline

Module Z
Module 6 SMS
SMS Implementation Course
Summary

Module 5
Module 4
Safety Risk
Hazard
Assessment and
Identification
Mitigation

Module 2
Module A Module 1 Introduction to Module 3
SMS Course Basic Safety Safety SMS Framework
Introduction Concepts Management

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 End-of-Module Objective

In the classroom, having completed this module delivery, the

Condition participants will be able to:

explain safety management system concepts and

Performance fundamentals, ICAO SARPS, and the State SMS regulations

in accordance with ICAO Annex 19 (Safety Management),

Standards ICAO Document 9859 Safety Management Manual, and Civil
Aviation Regulation – Safety Management.

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 Intermediate Objective

1 Describe the high level principles and the basics of SMS

2 Explain the concept of safety culture

Demonstrate familiarization with State safety management

3
responsibilities; and
Demonstrate general awareness of the processes for safety data
4
collection, analysis, sharing and exchange.

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Module Outline

SMS: Performance-based approach

SMS Basics
Overview of Safety Management
SARPs
State Safety Management
Responsibilities

Safety Data and Safety Information

 What is different with Safety Management?

STATE Service
Providers

Safety Management

Prescriptive approach Performance-based approach

more effective at addressing safety risks that cannot be

achieved by compliance alone

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SMS Basics
 SMS Basics: What is SMS?

SMS
• a systematic approach to managing safety
• a system designed to continuously
improve safety by identifying hazards,
collecting and analyzing data and
continuously assessing safety risks
• seeks to proactively contain or mitigate
risks before they result in aviation
accidents and incidents

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 SMS Basics: What is SMS?

The last era in the evolution of safety focused

on organizational factors. Today, safety
management addresses organizational
factors, systemic hazards and risks.

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 SMS Basics: What is SMS?
• Provision of information that aids decisions of
many kinds; from those made by individuals to
those made by administrative bodies for the
benefit of safety
• Gives meaningful input to aviation safety while
aiming proactive management of safety risks
before they result in accidents and incidents
through:
➢ The proactive identification of hazards
➢ The conduct of associated risk assessments
➢ Actions taken to manage the risks
➢ The measurement and monitoring of the effectiveness of
risk controls

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 SMS Basics: What is SMS?

Service providers do not work in isolation.

• SMS framework:
• Facilitates interactions and interconnect the
safety processes across the aviation system
• Promotes common acceptance and reduces
the unnecessary duplication of effort

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 SMS Basics: What is SMS?
SMS framework:
• Comprises four components subdivided into
elements
➢ Safety policy and objectives
➢ Safety risk management
➢ Safety assurance
➢ Safety promotion
• Promotes a standardized approach across all
organizations that have implemented an SMS
➢ Supports development and use of common methods and
tools, language and taxonomy needed for comparison,
sharing and understanding

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 SMS Framework
A. Safety Policy and Objectives
• Management commitment and responsibility
• Safety accountabilities
• Appointment of key safety personnel
• Coordination of emergency response planning
• SMS documentation
B. Safety Risk Management
• Hazard identification
• Safety risk assessment and mitigation
C. Safety Assurance
• Safety performance monitoring and
measurement
• The management of change
• Continuous improvement of the SMS
D. Safety Promotion
• Training and education
• Safety communication

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 How can you Transition to Safety Management?

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 What is safety culture?

• Safety culture
• “How people behave in
relation to safety and risk
when no one is watching”.
• An expression of how
safety is perceived, valued
and prioritized by
management and
employees in an
organization

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 Safety Culture and Culture Diversity
• Managing safety requires interaction
with, and management of culturally
diverse personnel.
• Managers should be capable of
molding their culturally-diverse
workforce into effective teams.
• Eliminating differences in safety risk
perceptions that may derive from
different cultural interpretations and
enhancing other safety-related
aspects

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 Safety Culture and Safety Management

A positive safety culture relies on a high degree of trust and

respect between personnel and management.

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 Safety Culture and Safety Management

Time and effort are

needed to build a
positive safety culture,
which can easily be
damaged by
management decisions
and actions, or
inactions.

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 Safety Culture and Safety Management

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 Safety Culture and its influence on Safety Reporting

SSPs and SMSs are sustained by safety data and safety

information that is necessary to address existing and
potential safety deficiencies and hazards, including safety
issues identified by personnel.

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 Safety Culture and its influence on Safety Reporting

The success of a reporting system

depends entirely on the continuous
flow of information from, and
feedback to, organizations and
individuals.

The protection of safety data, safety

information and related sources is
essential to ensure continued
availability of information.

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 Safety Culture and its influence on Safety Reporting

Involuntary safety
reporting systems may be
realized through a system
that is confidential and not
used for purposes other
than maintaining or
improving safety

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 Safety Culture and its influence on Safety Reporting

Twofold benefit of a confidential voluntary

safety reporting system:
• Enables personnel to actively identify
hazards and suggest workable solutions
• Enables regulator or management to
gather important safety information and
build trust with the organizations

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 Safety Culture and its influence on Safety Reporting

States are expected to adopt

laws to adhere to the
provisions outlined in Annex
19 for the protection of safety
data, safety information and
related sources.

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 Safety Culture and its influence on Safety Reporting

• In the case of a voluntary

reporting system, confidentiality
should be ensured and the
reporting system operated in
accordance with the safety
protection laws.
• Organizations need to have an
appropriate disciplinary policy,
which is accessible to all and
widely understood
• Gathering safety data and
information are highly important
to develop actionable insights
for leadership to make data-
driven decisions.

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 Monitoring Safety Culture
Safety culture is subject to many influences and organizations
may choose to assess their safety culture to:
Understand how people
feel about the
Identify strengths and
organization and how
weaknesses
importantly safety is
perceived

Identify differences Examine changes over

between various groups time (e.g. in response to
(subcultures) within an significant organizational
organization changes)

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 Monitoring Safety Culture
There are a number of tools which are used to
assess safety culture maturity, usually in
combination:

Questionnaires

Document Reviews

Interviews and Focus Groups

Observations

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 Monitoring Safety Culture

Assessing the safety culture maturity can provide

valuable insight, leading to actions by management
that will encourage the desired safety behaviors.
It should be noted that there is a degree of
subjectivity with such assessments and may reflect
the limited views.
It can have unintended consequences wherein the
organization is encouraged to strive to achieve the
“right score”, rather than working together to
understand and improve safety culture.

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 Knowledge Check
Q: Which of the following features are related to a positive safety culture?

a. Management and staff share a common awareness of the hazards and risks faced by the
organization and its activities, and the need to manage risks
b. Individuals act and make decisions according to a common belief that safety is part of the
way they do business
c. Individuals and groups continually critique their behaviors and processes and welcome the
critique of others searching for opportunities to change and improve as their environment
changes

?
d. Managers and employees, individually and collectively, want to make decisions and take
actions that promote safety
e. All answers are correct

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Overview of the Safety Management SARPs
 Need for a New Annex

• Due to increasing complexity of global air

transportation system and its interrelated
aviation activities required to assure safety,
an Annex dedicated to safety management is
needed
• Annex 19 was developed in response to
recommendations provided by the High-
Level Safety Conference (HLSC\2010).
• The Air Navigation Commission (ANC), had
recommended the development of the new
Annex to follow a two-phased process.

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 Phase 1: The Establishment of Annex 19
Consolidation and
reorganization of existing
SARPs
essentially a transfer of
material from existing
overarching safety
management provisions
from 6 other Annexes
Sector-specific safety
management provisions
remain in their appropriate
Annexes

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 Phase 1: The Establishment of Annex 19
Consolidation and reorganization
of existing SARPs
• Enables States to focus their
attention to the importance of
integrating their safety
management activities
• Facilitates further evolution of
safety management
provisions
• Modifications were only made
for the purpose of clarification
or harmonization
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 Phase 2: Further Development of Annex 19 and Supporting Guidance Material

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 Annex 19 Applicability

• The SARPs contained in Annex

19 shall be applicable to safety
management functions
related to, or in direct support
of, the safe operation of
aircraft (occupational health
and safety events are not
addressed)
• Annex 19 Amendment 1
applicability date of November
2019 only applies to the
changes introduced.

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 Knowledge Check
Q: What changes have been made in the first amendment of Annex 19 – Safety
Management?

a. An upgrade to SSP elements integrated with the State Safety Oversight (SSO)
system critical elements (CEs)
b. An enhancement of SMS provisions to require service providers to obtain ISO
certification
c. The applicability of the SMS framework was extended to organizations responsible
for the type design and manufacture of aircraft
d. An upgrade to provisions for the protection of safety data, safety information and
related sources.
?
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State Safety Management Responsibilities
 What is an SSP?

Annex 19 defines the State Safety Programme (SSP) as an

integrated set of regulations and activities aimed at
improving safety.

SSP can also be described as a management system for the

management of safety by the State.

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 What is an SSP?
The SSP should seek to:
• Ensure that the State has a legislative framework with supporting specific
operating regulations to enable the effective implementation of safety
management;
• Ensure Safety Risk Management (SRM) and safety assurance coordination
and synergy amongst the various relevant Safety aviation authorities;
• Support effective implementation and appropriate interaction with service
provider’s SMS;
• Facilitate the monitoring and measurement of the safety performance of the
State’s aviation industry; and
• Maintain and/or continuously improve the State's overall safety
performance.

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 Commensurate with the Size and Complexity
• How the requirements are
addressed should be
customized to the State’s
environment to ensure that
each process or activity is
effective and to achieve the
benefits of safety
management
• A thorough understanding of
the State’s aviation system
and the interactions between
State must comply with the requirements of Annex 19, the entities involved is a
Chapter 3 fundamental requirement

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 SSP Requirements
In accordance with CAR – SM,
ICAO SARPs and the supporting
guidance documents

The Authority shall require service providers and international general

aviation operators implement SMS

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 SSP Requirements
CAR – SM Chapter 4
Approved Training Organization that are
exposed to safety risks related to aircraft
Aeroplane or Helicopter Operators
operations during the provision of their
services.

Approved Maintenance Operations (AMO) Air Traffic Services Providers

Communication Navigation Surveillance Certified Aerodromes

Providers

ICAO DOCUMENT 9859 (SMM) Aircraft/Engines/Propellers Type Design or

Manufacturing Organizations

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 Knowledge Check
Q: Which of the following organizations is required to implement an SMS under CAR-SM.

a. Approved training organizations (ATO) exposed to safety risks related to aircraft operations during the
provision of their services
b. Air traffic service providers
c. Freight forwarders
d. Approved maintenance organizations (AMOs)
e. Aero clubs
f. Aeroplane or helicopter operator
g. International general aviation operators of large or turbojet aeroplanes

?
h. Non-certified aerodromes
i. Organizational responsible for the type design and/or manufacture of aircraft engines or propellers
j. CNS providers

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Safety Data and Safety Information
Collection, Analysis, Protection,
Sharing and Exchange
 Important Safety Questions
These SARPs and national regulations are established to ensure the continued
availability of safety data and safety information to support safety management
activities.

ICAO Annex 19 Chapter 5 and CAR-SM Chapter 5 provide guidelines

regarding the safety data and safety information collection, analysis,
protection, sharing and exchange.

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 Important Safety Questions

Aviation safety is not the sole

responsibility of States or service
providers.

It is a shared responsibility to which

all stakeholders should contribute
by providing relevant safety data
and safety information through
safety reports and other applicable
means.

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 Safety Data Collection
ICAO Annex 19 and CAR- SM
require the establishment of a
Safety Data Collection and
Processing Systems (SDCPS) to
capture, store, aggregate and
enable the analysis of safety data
and safety information.

SDCPS refers to processing and

reporting systems, safety
databases, schemes for exchange
of information, and recorded
information.

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 Safety Reporting Systems
While data and information can come
from various sources, reporting of
safety data and safety information by
individuals and organizations in the
aviation system is fundamental to
safety management.

Effective safety reporting systems help

to ensure that people are and remain
willing to report their errors and
experiences, so that States and service
providers have access to relevant data
and information that is necessary to
address existing and potential safety
deficiencies and hazards.

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 Safety Data Analysis
The use of suitable tools for analysis of data
provides a more accurate understanding of
the overall situation by examining the data.
Results of safety data analysis highlight areas
of high risk and assist decision makers and
managers to:
• Take immediate corrective action
• Implement risk based surveillance
• Define or redefine safety policy and objectives
• Define or redefine safety performance
indicators
• Promote safety
• Conduct safety risk assessment

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 Safety Data Analysis

SARPs and national

regulations require the
Authority to establish
and maintain a process
to analyze the safety
data and safety
information from the
SDCPS and associated
safety databases.

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 Safety Data Protection

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 Safety Data Protection
To achieve this, CAR – SM stipulates that safety
data captured by and safety information derived
from voluntary and mandatory safety
reporting systems and related sources in
accordance with I.S. 5.3.1.
Individuals and organizations are protected by:
• Ensuring they are not punished on the basis
of the report
• limiting the use of safety reports to purposes
aimed at the maintenance or improvement
of safety unless exception applies
In addition, necessary measures, including the
promotion of a positive safety culture, to
encourage safety reporting.

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 Safety Information Sharing and Exchange

In the ICAO SARPS and CAR-SM

context, sharing refers to giving, while
exchange refers to giving and
receiving in return.

The objective of sharing and exchange

of safety information is to ensure a
consistent, fact-based and transparent
response to safety concerns at the
State and global levels.

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 Safety Information Sharing and Exchange

In this manner, the principles

related to the protection of safety
data and safety information, and of
their sources, contained in the
SARPS and national regulations
provide for more clarity and
transparency, as well as a level
playing field, with a view to
facilitating the exchange of safety
information between States.

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 Sharing and Exchange between States

According to CAR-SM:

If the Authority, in the

analysis of the information
contained in its SDCPS,
identified safety matters
considered to be of interest
to other States, said
information shall be
forwarded as soon as
possible.

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 Sharing and Exchange between States

CAR-SM specifies that the Authority

will promote the establishment of
safety information sharing or
exchange networks among users
of the aviation system

Facilitate the sharing and

exchange of safety
information, unless national
The level of protection
and conditions shall be in
law provides otherwise.
line with I.S. 5.3.1

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 CAAP SMS Regulations

PCAR Part 1 – General Policies, Procedures and Definitions

PCAR Part 3 – Approved Training Organizations
PCAR Part 6 – Approved Maintenance Organization
PCAR Part 9 – Air Operator Certification and Administration
CAR – Air Navigation Service
CAR – Aerodromes
CAR – Safety Management
Manual of Standards

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 Your Questions

?
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Summary
The following topics SMS: Performance-based approach
were covered in this
module: SMS Basics
Overview of Safety Management
SARPs
State Safety Management
Responsibilities

Safety Data and Safety Information

THANK YOU