Safety Management System and Human Factors in Aviation

Safety Management System (SMS)

Course Goals

  • Provide knowledge of safety management concepts and ICAO Standards and Recommended Practices (SARPs).
  • Develop knowledge concerning the implementation of key components of the SMS, in compliance with relevant ICAO SARPs.

References

  • ANNEX 19
  • ICAO DOC.: 9859 “Safety Management Manual (SMM)“
  • ICAO Guidance Training Materials

What is Safety?

  • 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.

The Concept of Accident Causation

  • Traditional approach focuses on outcomes and unsafe acts by operational personnel, often attaching blame/punishment.
  • Organizational accident model includes organizational processes, latent conditions, workplace conditions, defenses, and active failures.

The Organizational Accident

  • Organizational processes: Activities over which any organization has a reasonable degree of direct control (e.g., policy-making, planning).
  • Latent conditions: Factors that lie dormant.
  • Workplace conditions: Factors that directly influence the efficiency of people in aviation workplaces (e.g., workforce stability, morale).
  • Defences: Resources to protect against risks (e.g., technology, training, regulations).
  • Active failures: Immediate actions or inactions that cause the accident.

SHEL(L) Model

  • S (Software), H (Hardware), E (Environment), L (Liveware), L (Liveware, other persons).
  • Framework for understanding the relationship between people and operational contexts.

Errors & Violations

  • Error: Unintentional act.
  • Violation: Deliberate act.
  • Both can lead to system failure.

How to Avoid Violations

Regulations, Crew Resource Management (CRM), Workable Technology-Human Interface Design, Training

Safety Management: Eight Building Blocks

  1. Senior Management’s commitment to the Management of Safety.
  2. Effective safety reporting.
  3. Continuous monitoring through systems to collect, analyze, and share safety-related data.
  4. Investigation of safety occurrences to identify systemic deficiencies.
  5. Sharing safety lessons learned and best practices.
  6. Integration of safety training for operational personnel.
  7. Effective implementation of Standard Operating Procedures (SOPs).
  8. Continuous improvement of the overall level of safety.

Responsibilities for Managing Safety

  1. Definition of Policies and Procedures regarding Safety.
  2. Allocation of Resources for Safety Management activities.
  3. Adoption of best industry Practices.
  4. Incorporating Regulations governing civil aviation Safety.

Hazard

  • Condition, object or activity with the potential of causing injuries, damage, loss, or reduction of ability to perform.

Consequence

  • Potential outcome(s) of the hazard.

Types of Hazards

  • Natural
  • Technical
  • Economic

Hazard Identification Factors

  • Design factors
  • Procedures and operating practices
  • Communications
  • Personnel factors
  • Organizational factors
  • Work environment factors
  • Regulatory oversight factors
  • Defenses
  • Human performance

Sources of Hazard Identification

  • Internal: Flight Data analysis, Company voluntary reporting system, Safety surveys and audits
  • External: Accident reports, State reporting system, State oversight audits

Risk

  • The assessment, expressed in terms of predicted Probability and Severity, of the consequence(s) of a hazard taking as reference the worst foreseeable situation.

Safety Risk Management

  • Encompasses the assessment and mitigation of the safety risks of the consequences of hazards that threaten the capabilities of an organization.

Regulation

  • The ICAO Safety Management SARPs are contained in Annexes 1; 6; 8; 11; 13 and 14.
  • These Annexes address the activities of Approved training organizations, International aircraft operators, Air traffic service providers, Certified aerodromes.

Safety Management SARPs Aimed At

  • States
  • Service Providers

ICAO Safety Management SARPs Requirements

  • The State Safety Programme (SSP)
  • Safety Management Systems (SMS)
  • Requirements regarding Management Accountability

State Safety Programme (SSP)

  • An integrated set of Regulations and Activities aimed at improving Safety.
  • SSP is a Management System for the management of Safety by the State.

Acceptable Level of Safety

  • High level safety management goals of an oversight authority.
  • Minimum safety performance that service providers should achieve while conducting their core business functions.

State Responsibility

  • States shall establish a Safety Programme, including an Acceptable Level of Safety.
  • States shall establish a Safety Programme, encompassing the following responsibilities: Safety regulation, Safety oversight

Safety Management System (SMS)

  • A systematic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures.

Four Components of SMS

  1. Safety Policy and Objectives
  2. Safety Risk Management
  3. Safety Assurance
  4. Safety Promotion

Hazard Reporting

  • Mandatory Reporting systems
  • Voluntary Reporting systems
  • Confidential Reporting systems