Module N° 7 –
Introduction to SMS
Revision N° 11 ICAO Safety Management Systems (SMS) Course 01/01/08
Building an SMS
Safety Module 10
Phased approach to
Management SMS Implementation
System Module 8 Module 9
SMS planning SMS operation
Module 5 Module 6 Module 7
Risks SMS regulation Introduction to SMS
Module 1 Module 2 Module 3
Introduction Module 4
SMS course Basic safety to safety
introduction concepts Hazards
management
Module N° 7 ICAO Safety Management Systems (SMS) Course 2
Objective
At the end of this module, participants will be able to
describe the features of an SMS, explain the importance of
system description and gap analysis, and the relationship
between SMS and QMS.
Module N° 7 ICAO Safety Management Systems (SMS) Course 3
Outline
ICAO requirements
SMS – Introductory concepts
SMS features
First fundamental – System description
Second fundamental – Gap analysis
Third fundamental – SMS and QMS
Clarifying terms
Questions and answers
Points to remember
Module N° 7 ICAO Safety Management Systems (SMS) Course 4
ICAO requirements
Compliance with all relevant
regulations and ICAO
standards, other than those
specifically SMS-related, is
a key component of an
SMS.
Many of these regulations
and ICAO standards,
include operational
provisions that will be part
of an SMS.
Module N° 7 ICAO Safety Management Systems (SMS) Course 5
SMS – Introductory concepts
A toolbox
¾The scope of SMS encompasses
most of the activities of the
organization.
¾SMS must start from senior
management, and safety must be
considered at all levels of the
organization.
¾SMS aims to make continuous
improvement to the overall level
of safety.
¾All aviation stakeholders have a
role to play in SMS.
Module N° 7 ICAO Safety Management Systems (SMS) Course 6
Identifying aviation system stakeholders
Aviation professionals
Aircraft owners and operators
Manufacturers
Aviation regulatory authorities
Industry trade associations
Regional air traffic service providers
Professional associations and federations
International aviation organizations
Investigative agencies
The flying public
Module N° 7 ICAO Safety Management Systems (SMS) Course 7
Identifying aviation system stakeholders
Why is it important to
identify aviation system
stakeholders?
¾To ensure that
stakeholders inputs and
knowledge relevant to
safety risk(s) decisions
are taken into
consideration before the
decisions are taken.
Module N° 7 ICAO Safety Management Systems (SMS) Course 8
SMS features
Systematic – Safety management activities are in
accordance with a pre-determined plan, and applied in a
consistent manner throughout the organization.
Proactive – An approach that emphasizes hazard
identification and risk control and mitigation, before events
that affect safety occur.
Explicit – All safety management activities are
documented and visible.
Module N° 7 ICAO Safety Management Systems (SMS) Course 9
S
H L L
15
Module N° 7 ICAO Safety Management Systems (SMS) Course 10
First fundamental – System description
System description
¾ Most hazards are generated by operational interactions
among different system components.
¾It is therefore essential to describe the system in terms
of its components as one of the first activities when
planning an SMS.
Module N° 7 ICAO Safety Management Systems (SMS) Course 11
System description
1) The system interactions with other systems in the air
transportation system.
2) The system functions.
3) Required human performance considerations of the
system operation.
4) Hardware components of the system.
5) Software components of the system.
6) Related procedures that define guidance for the operation
and use of the system.
7) Operational environment
8) Contracted and purchased products and services.
Module N° 7 ICAO Safety Management Systems (SMS) Course 12
Second fundamental – Gap analysis
An analysis of safety arrangements existing within the
organization.
¾The basic organizational structures necessary to start
developing an SMS may exist in the organization.
¾Various activities related to an SMS may be in place
and working.
¾SMS development should build upon existing
organizational structures.
Module N° 7 ICAO Safety Management Systems (SMS) Course 13
Second fundamental – Gap analysis
Conduct the gap analysis
against the components and
elements of the SMS
(Presented in Module 8).
Once completed and
documented the gap analysis
forms the basis of the SMS
implementation plan.
Module N° 7 ICAO Safety Management Systems (SMS) Course 14
Third fundamental – SMS and QMS
SMS differs from QMS in that:
¾SMS focuses on the safety,
human and organizational
aspects of an organization
i.e. safety satisfaction
¾QMS focuses on the
product(s) and service(s) of
an organization
i.e. customer satisfaction
Module N° 7 ICAO Safety Management Systems (SMS) Course 15
SMS and QMS
SMS results in the design and implementation of
organizational processes and procedures to identify safety
hazards and control/mitigate safety risks in aviation
operation.
QMS provides a structured approach to monitor that
processes and procedures to identify safety hazards and
control/mitigate safety risks in aviation operations function
as intended and, when they do not, to improve them.
Module N° 7 ICAO Safety Management Systems (SMS) Course 16
SMS and QMS – Striking a balance
SMS builds partly upon QMS
principles.
SMS should include both
safety and quality policies.
The coverage of quality
policies – insofar as SMS is
concerned – should be
limited to quality in support of
the management of safety.
Module N° 7 ICAO Safety Management Systems (SMS) Course 17
Systems integration
There is a tendency in civil aviation to integrate the different
systems of management:
¾Quality management system (QMS).
¾Environment management system (EMS).
¾Occupational health and safety management system
(OHSMS).
¾Safety management system (SMS).
¾Security management system .
Module N° 7 ICAO Safety Management Systems (SMS) Course 18
Systems integration benefits
Reduce duplication and therefore costs.
Reduce risks and increase profitability.
Balance potentially conflicting objectives.
Eliminate potentially conflicting responsibilities and
relationships.
Diffuse the power system.
Module N° 7 ICAO Safety Management Systems (SMS) Course 19
Systems integration considerations
There are different ways to integrate a safety management
system in the operation of the organization.
Aviation organizations should be encouraged to integrate
their management system for quality, safety, security,
occupational health and safety, and environmental
protection management.
This integration, however, is presently beyond the
scope of the harmonized ICAO safety management
requirements and of this training course.
Module N° 7 ICAO Safety Management Systems (SMS) Course 20
Clarifying the use of terms
Safety oversight
¾Is what the CAA performs with regard to the
operators/service providers SMS.
Safety assurance
¾Is what the operators/service providers do with regard to
safety performance monitoring and measurement
Safety audit
¾Is what the CAA performs with regard to its safety
programme and the operators/service providers perform
with regard to the SMS.
Module N° 7 ICAO Safety Management Systems (SMS) Course 21
SMS – Nothing new?
Rounding up the usual suspects.
¾ In aviation, safety is first.
¾ Safety is everybody’s responsibility.
¾ If ain’t broke, why fix it?
¾ If you believe safety is expensive, try an accident.
¾ 70% accidents are due to human error.
Module N° 7 ICAO Safety Management Systems (SMS) Course 22
In summary
Safety – 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.
Management – Allocation of resources.
System – Organized set of processes and procedures.
Module N° 7 ICAO Safety Management Systems (SMS) Course 23
Introduction to SMS
Questions and answers
Module N° 7 ICAO Safety Management Systems (SMS) Course 24
Questions and answers
Q: Why is it important to SMS development to involve
stakeholders?
A:
¾To ensure that stakeholders inputs and knowledge
relevant to safety risk(s) decisions are taken into
consideration before the decisions are taken.
Slide number: 8
Module N° 7 ICAO Safety Management Systems (SMS) Course 25
Questions and answers
Q: One of the three main characteristic features of SMS
is that it is systematic. Explain?
A:
¾Systematic – Safety management activities are in
accordance with a pre-determined plan, and applied in
a consistent manner throughout the organization.
Slide number: 9
Module N° 7 ICAO Safety Management Systems (SMS) Course 26
Questions and answers
Q: Explain the importance of gap analysis.
A:
¾The basic organizational structures necessary to start
developing an SMS may exist in the organization.
¾Various activities related to an SMS may be in place and
working.
¾SMS development should build upon existing
organizational structures.
Slide number: 13
Module N° 7 ICAO Safety Management Systems (SMS) Course 27
Questions and answers
Q: Explain the difference between SMS and QMS.
A:
¾SMS focuses on the safety, human and organizational
aspects of an organization
i.e. safety satisfaction
¾QMS focuses on the product(s) and service(s) of an
organization
i.e. customer satisfaction
Slide number: 15
Module N° 7 ICAO Safety Management Systems (SMS) Course 28
Points to remember
1. SMS main features
2. The importance of system description
3. The importance of gap analysis
4. The relationship between SMS and QMS
Module N° 7 ICAO Safety Management Systems (SMS) Course 29
Module N° 7 –
Introduction to SMS
Revision N° 11 ICAO Safety Management Systems (SMS) Course 01/01/08
