Module 2

Introduction to Safety
Management

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.1
 SMS Course Outline

Module 6 Module Z
SMS Course
SMS Implementation Summary

Module 5
Module 4
Safety Risk Assessment
Hazard Identification
and Mitigation

Module A Module 1 Module 2

SMS Course Basic Safety Introduction to Safety Module 3
Concepts Management SMS Framework
Introduction

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.2
 End-of-Module Objective

Condition In the virtual classroom, having completed this module

delivery, the participants will be able to:

explain safety management system concepts and

Performance
fundamentals, ICAO SARPS and the State SMS regulations

Standards in accordance with ICAO Annex 19 (Safety Management)

and ICAO Document 9859 Safety Management Manual.

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.3
 Intermediate Objectives

1 Describe the high level principles and the basics of SMS

2 Explain the concept of safety culture

Demonstrate familiarization with State safety management responsibilities;

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

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.4
 Module Outline
SMS: Performance-based approach

SMS Basics

Overview of Safety Management SARPs

State Safety Management Responsibilities

Safety Data and Safety Information

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.5
What is different with Safety Management?
STATE Service
Providers
Safety
Management

Performance-based
Prescriptive approach
approach

more effective at addressing safety risks that

cannot be achieved by compliance alone

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.6
 SMS Basics
SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.7
 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

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.8
SMS Basics: What is the difference from previous safety initiatives?

The last era in the evolution of safety focused on

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

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.9
 SMS Basics: Why 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

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.10
 SMS Basics: Why a framework?

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

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.11
SMS Basics: What is the framework comprised of?
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

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.12
 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

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.13
How can you Transition to Safety Management?

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.14
 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
SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.15
 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

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.16
 Safety Culture and Safety Management

A positive safety culture relies on a high degree of

trust and respect between personnel and
management.
SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.17
 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.
SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.18
 Safety Culture and Safety Management

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.19
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.

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.20
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.

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.21
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

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.22
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

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.23
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.

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.24
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.

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.25
 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

Examine changes over

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

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.26
 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

Observations Groups

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.27
 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.

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.28
 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

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.29
 Overview of the Safety Management SARPs

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.30
 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.

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.31
 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

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.32
 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
SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.33
 Phase 2: Further Development of Annex 19 and
Supporting Guidance Material

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.34
 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.

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.35
 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.

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.36
 State Safety Management Responsibilities
SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.37
 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.

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.38
 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.
SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.39
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

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.40
 SSP Requirements
Approved Training
Organization that are Aircraft/Engines/Propellers
exposed to safety risks Type Design or
related to aircraft operations Manufacturing
during the provision of their Organizations
services.

Air Traffic Services

Aeroplane or Helicopter
Providers
Operators

Approved Maintenance Certified Aerodromes

Operations (AMO)

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.41
 Knowledge Check
Q: Which of the following organizations is required to implement an SMS under Annex 19.

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

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.42
 Safety Data and Safety Information Collection, Analysis,
Protection, Sharing and Exchange
SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.43
 Important Safety Questions
These SARPs are established to ensure the continued availability
of safety data and safety information to support safety
management activities.

ICAO Annex 19 Chapter 5 consists of the SARPs regarding the

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

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.44
 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.

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.45
 Safety Data Collection
ICAO Annex 19 requires States to
establish 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.

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.46
 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.

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.47
 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

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.48
 Safety Data Analysis
Annex 19 requires
States to establish and
maintain a process to
analyze the safety data
and safety information
from the SDCPS and
associated safety
databases.

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.49
 Safety Data Protection

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.50
 Safety Information Sharing and Exchange

In the ICAO Annex 19 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.

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.51
 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 Annex 19 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.

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.52
 Sharing and Exchange between States
According to Annex 19:
If a State, 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.

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.53
 Sharing and Exchange between States
Annex 19 requires States to
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 law provides
otherwise.

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.54
 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

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.55
 Your Questions

?
SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.56
 Summary
The following topics were covered in this module:

SMS Performance-based approach

SMS Basics and SARPs

State Safety Management Responsibilities

Safety Data and Safety Information

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.57
 THANK YOU

SMS v12.1 January 2022 Civil Aviation Training Center - Manila PPT 2.58