George FiricanICAO EUR/NAT Regional Officer

Almaty, 5 to 9 September 2005

SAFETY MANAGEMENT SYSTEMS

Almaty, 5 – 9 September 2005 2

SUMMARY

What is SMS?

Why SMS?

Definitions

Systems approach

SMS Strategy

SMS principles

Building an SMS

Safety culture

Safety versus efficiency

Safety through SMS

Basic safety process

Traditional versus current

Safety management

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SAFETY MANAGEMENT SYSTEM

Businesslike approach to safety

Managing safety risks Setting goals Planning Measuring performance

Integral part of an organization Organizational culture Way people work

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WHY SMS?

Accident causes Human errors?

Causal factors Chain links

Organizational issues

Making the system safer Actions by an organization Systems approach to safety management Address latent failures

ICAO requirements

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NOTIONS

Failure - system

Fault - equipment

Error - human

Active failures – can be observed

Latent failures – (hidden) hazards, unsafe conditions

ERROR and/or FAULT = FAILURE

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SYSTEMS APPROACH

System includes People Procedures Technology

Role of organization Prevention of

Accidents Incidents

Safety management includes: whole range of activities all levels of organization

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SMS STRATEGIES (1/2)

Reactive strategy – investigate accidents and incidents Focused on compliance Measured on accidents and incidents limited

by: Actual failures Insufficient data “root causes”unknown

Constant catching up required to match human inventiveness for new errors

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SMS STRATEGIES (2/2)

Proactive strategy - constant and aggressive seek for information through: Reporting systems Identifying latent conditions Safety surveys Data analysis Operational inspections Operational audits

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Organization

Safety assessments

Occurrence reporting

Hazard identification

Investigation & analysis

Performance monitoring

Safety promotion

Safety monitoring

KEY SAFETY MANAGEMENT ACTIVITIES

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SMS PRINCIPLES

The Four Principles (4 Ps) of Safety Management:

Philosophy

Policy

Procedure

Practices

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SMS PHILOSOPHY

Safety management starts with Management Philosophy:

recognizing that there will always be threats to safety;

setting the organization's standards; and

confirming that safety is everyone's responsibility.

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SMS POLICY

Specify how safety will be achieved:

clear statements of responsibility, authority, and accountability;

development of organizational processes and structures to incorporate safety goals into every aspect of the operation; and

development of the skills and knowledge necessary to do the job.

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SMS PROCEDURES

What management wants people to do to execute the policy:

clear direction to all staff;

means for planning, organizing, and controlling; and

means for monitoring and assessing safety status and processes (e.g. reporting and communication)

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SMS PRACTICES

What really happens on the job:

following well designed, effective procedures;

avoiding the shortcuts that can detract from safety; and

taking appropriate action when a safety concern is identified.

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BUILDING A SMS

Good ideas do not guarantee success Resistance to change

Three critical elements to success: Commitment Cognizance Competence

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SAFETY CULTURE

Organisation’s culture is defined by:

“… what people do”

“… how we do things around here”

Safety culture is: “Informed” culture “Just” culture “Reporting” culture “Learning” culture

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INFORMED CULTURE

People understand Hazards Risks

Staff work continuously to Identify Overcome threats to safety

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JUST CULTURE

Errors Human factors understood

Willful violations Not tolerated

Everyone agrees on Acceptable Unacceptable

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REPORTING CULTURE

People encouraged to voice safety concerns

Safety concerns Reported Analyzed

Action taken

Feed-back

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LEARNING CULTURE

People encouraged to develop and apply Skills Knowledge

Staff updated and informed on safety issues

Safety reports are fed back to staff

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ENCOURAGING SAFETY CULTURE

Management:

Practices what it preaches

Allocates adequate resources

Acknowledges safety concerns and suggestions

Gives feedback on decisions

Feedbacks are timely, relevant and clear

“Do nothing” decisions - explained

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SAFETY VERSUS EFFICIENCY

Traditional thinking: Avoid costs

Cost of occurrences Cost of accidents

Current (modern) thinking: Safety and efficiency linked:

Safety reduces losses Safety enhances productivity Safety is good for business

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SAFETY THROUGH SMS

SMS approach:

Proactive Anticipates and addresses issues (e.g. latent

failures)

Deals effectively with incidents and accidents

Applies lessons learned to improve safety

Reduces losses

Improves productivity

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BASIC SAFETY PROCESS

REPORT:

• safety concern• problem• hazard• occurrence

ANALYSE

CORRECT

Evaluate

Resolved

Not resolved

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TRADITIONAL VERSUS CURRENT (1/2)

Traditional approach

Independent safety officer Reporting to head of organization No authority

Results achieved Ability to persuade management

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TRADITIONAL VERSUS CURRENT (2/2)

Current Approach

SMS basic safety process Part of organization’s management

No additional regulations

No additional safety oversight

Managers accountable Safety-related actions No action

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SAFETY MANAGEMENT

Management of organisation is Responsible Accountable

Authority and accountability co-exist

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Review

What is SMS?

Why SMS?

Definitions

Systems approach

SMS Strategy

SMS principles

Building an SMS

Safety culture

Safety versus efficiency

Safety through SMS

Basic safety process

Traditional versus current

Safety management

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QUESTIONS, COMMENTS

?

George FiricanICAO EUR/NAT Regional Officer

Almaty, 5 to 9 September 2005

SAFETY MANAGEMENT SYSTEMS

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