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Safety
Management Systems - Essentials
(Aviation)
(SMS-E)
19 August 2008
Course Description
According to ICAO all
aviation organizations, aviation operators, airports, air traffic
control facilities and aviation maintenance organizations must have a
Safety Management System in place.
What is a Safety Management System? Why
do I need one? How
do I create one? How do I use it? How do I evaluate my SMS?
If you are asking these questions and
others like them, this essentials course is for you! SCSI has created
this focused, hard hitting course available to you on the web or in the
classroom.
The course is designed to help you
understand and create
Simply put, an SMS is a systems approach to
creating an effective Risk Control Process like the one shown in figure
1 below. This process will help you
and your organization systematically process safety information, both proactively and
reactively, in order to develop safety plans, programs,
and specific actions that get results in terms of reducing risk. In
other words, an SMS-based Risk Control Process is a way of
systematically identifying the risks you face and then deciding whether
to accept, reduce, or eliminate them as well as looking at the results
of your decisions to make sure you get the intended results.
Figure 1. The SMS
Risk Control Process (ICAO)
Figure 1 shows the basic flow
of information through an SMS Risk Control Process. Notice that the process and information
flow is designed to identify latent or unrecognized unsafe conditions
and analyze them for impact on the organization so that you can then
take actions to adequately control those conditions.
To make sure an SMS Risk Control Process
works as intended, you need to create an SMS Organizational structure,
culture, and behavior to make it work. There are 10 organizational
components in an SMS as shown in figure 2. These SMS organizational
components are designed to facilitate the
flow of safety information and turn information into action. Every SMS
organizational component contributes to controlling risk through the
Risk Control Process in figure 1.
There are several different descriptions
of what the organizational components are in an SMS. Figure 2 is the ICAO model which
we use in this essentials course. This are ten organizational components
that act and interact with each other when you have a properly organized
SMS.
Figure 2. The Safety
Management System 10 organizational components (ICAO)
As you can see there are ten
organizational components in an SMS. These components form the framework of the SMS
in your organization that
will help you create and implement an effective risk control process. These
10 organizational components and the interactions among them are the SMS
and define the SMS in your organization.
In this SMS Essentials course each of
these ten organizational components will be described. You will learn what each one
is, what part it plays in an effective SMS, and how it relates to the
other components of the SMS and how each facilitates the risk control
process.
This course will give
you:
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A description of the organizational component. The
reasoning behind why that component is part of the SMS.
(i.e., What is the component and Why is it needed and how does it
contribute to a successful Risk Control Process?)
-
Information and/or checklists on how to
create or evaluate that component. (i.e., How do I get started on
this component? What should the component look like when I finish
creating it?)
-
Case studies, examples, and exercises
illustrating how that component functions as part of an SMS (i.e.,
What does this component actually do?)
-
Case studies, example, and exercises
illustrating how that component interacts with the other components of
the SMS to help you have an effective Risk Control Process which turns information into action. (i.e., How does this
component fit in with all the other components?)
A fully functioning SMS Risk Control
Process centers on
identifying hazards that are present and then establishing and
implementing actions to control those hazards before they result in an
accident or incident. This course will walk you through the SMS
Risk Control Process
using several examples to show you how the SMS organizational components act and
interact to accomplish this.
A certificated
aviation operation must have some form of safety program. This program
is the basis for building your SMS. To do this you must first identify
what you have now and how well this meets the goals and objectives of an
SMS. Once you know what the components of an SMS should be you can
evaluate your program. This course helps you do this by providing a
Guide for Gap Analysis. This guide, adapted from material published by
ICAO, Transport Canada and the FAA leads your through a step-by-step
assessment of your current program and helps you rate each area or
component on how well it meets SMS criteria. Once you have this gap
analysis complete it is relatively easy to build a plan to fill the gaps
and implement a working safety management system. You will be given
copies of this Gap Analysis Guide during the course and will start
working on the analysis itself. The results of this analysis are also
the baseline for the work you will do the the SMS Workshop, the second
course in the SCSI SMS Series.
References for the Essentials course include
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ICAO Annex 6
Part I, (Operation of Aircraft); Annex 11, (Air Traffic
Services); and Annex 14, (Aerodromes).
-
ICAO Manual on
Certification of Aerodromes (Doc 9774)
-
ICAO Safety
Management Manual, Doc 9859, 2006
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Advisory
Circular 119-165 Safety Management Training (Australia)
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CAP 712 Safety
Management Systems for Commercial Air Transport Operations (UK)
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CAP 730 Safety
Management Systems for Air Traffic Management (UK)
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TP 13881,
Safety Management Systems for Flight Operations and Aircraft
Maintenance Organizations (Canada)
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Operator's
Flight Safety Handbook, Issue #2, Global Aviation Information
Network (GAIN)
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SMS
Implementation Procedures Guide, Transport Canada TP14343E, May
2005
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FAA Advisory
Circular 120-92, Introduction to Safety Management Systems for
Air Operators, 6/22/2006.
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FAA Guidebooks
for Developing A Basic Safety Management System (Air Operators,
Flight Training , or Aviation Maintenance Organizations)
Many of these references as well as others will be provided
in electronic format as a part of the course.
Who Should Attend
or Take the Course in the Classroom or on the Web (Distance Learning)
Personnel assigned to safety and
safety-related positions in an airline, an on-demand charter, an
aerodrome, executive support airlift, a military flying activity or a
government regulatory body who may be new to safety or Safety Management
Systems or to those who would like a comprehensive review of SMS
fundamentals in order to review, evaluate, build, or improve upon a
safety management plan. Attendees will be provided the information,
knowledge, and checklists required to build, implement and manage a
"world class safety program using the latest tools, techniques and
processes."
How You will Benefit
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You
will learn safety management systems as applied to aviation
operations.
-
You
will learn the regulatory and administrative requirements for a
safety program under various federal and international guidelines.
-
You
will learn the ten basic SMS organizational components required to
produce an effective SMS Risk Control Process and then how to
develop them through actual hands-on practice.
-
You
will learn a data-driven approach to enhancing aviation safety --
how to collect and use data that will support a proactive approach
to safety.
-
You
will learn how to take account of human and organizational factors
as you organize (or reorganize) for a safety management system.
-
You
will be introduced to the concepts an SMS Risk Control Process and
the practice of hazard
identification and risk management and how this process can increase
the effectiveness of your accident prevention efforts.
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You
will learn how to deal with line management at all levels and how to
“sell” a Safety Management System and subsequent safety programs to them using the basic concepts of
strategic planning, budgeting, and financial decision making. You
will see how to create and propose budgets for
effective safety programs.
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By
completion of the course you will have the essentials you need to
develop a safety management system tailored to your organization.
For those from organizations that already have safety programs, you
will be able to critically review, compare and contrast, evaluate,
and improve existing plans and programs from a safety management
system perspective and make the required improvements.
-
You
will learn how to communicate effectively with and involve all
levels of management in safety by understanding the essential tools
of financial decision making and budgeting.
-
You
will learn how to involve all staff in safety, develop a positive
safety culture, maintain a commitment to safety, and assess
progress.
-
You
will evaluate your current safety program and identify gaps or
deficiencies compared to a fully functioning SMS
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SCSI
will award 4.0 CEUs to each participant who successfully completes
this course.
Course Topics
During this course the topics listed will
be presented by SCSI instructors in the classroom or on the web.
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What is a safety
management system and its 10 Organizational Components
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Senior
management commitment
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Safety policy
and objectives
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Organizing for
safety management
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Risk
management
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Hazard
identification systems
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Investigation
capabilities
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Safety
analysis capabilities
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Safety
promotion, training and education
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Safety
information management
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Safety
oversight and program evaluation
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Emergency
Response Planning
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What is an SMS
Risk Control Process
-
Why safety
management systems
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An
Introduction to Safety Culture and Human Error Management
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Human and
Organizational Factors in Safety Management Systems
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Strategic
Planning, Financial Decision Making, and Budgeting
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Information
flow in an effective Risk Control Process
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Case studies,
exercises
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Final class
exercise -- Gaps Analysis
These SMS course topics form the basis
for organizing this SMS course. For each organizational
component in an SMS, instructors will define the component and then show how
it applies to SMS with examples, illustrations, hands-on exercises,
checklists, etc. The course focus is on "how to do it” and what the
content should look like when you are done.
Most
course topics will include a summary "hands-on" exercise to focus
the topics covered.
Course Administration
This course may be taken either in
person in a classroom located at the
DoubleTree Hotel on the waterfront in San Pedro in Southern California, or it may be
taken on the web. Credit is also given for this SMS-E course to
those who take the AAPI Course in
Prague, the Czech Republic. The Safety Management
Systems Classroom Course consists of 5 days (40 hours) of classroom
instruction and the web version of the course is self paced. The
course topics covered and material presented in both the classroom
and web version of this course are the same. Classroom
participants receive lecture outlines, additional reference
material, and a Certificate of Completion. PDF versions of all
course material will be made available to web attendees. Those
taking the web version of the course will also receive a binder with
the class PowerPoint slides to take notes on. Upon completion
of the web course, the same Certificate of Completion will be
awarded to web participants as is awarded to classroom participants. Classroom classes begin at 0800 and end at 5 PM
on the last day.
Course Schedule, Location and Tuition
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