ch 1-6 Aviation Safety Management System

• Defenses can be categorized into two types a) “Physical defenses” includes objects that prevent inappropriate action, or mitigate the consequencesb) “Administrative defenses” include procedures and practices that mitigate the probability of an accidentInstitute of Aviation Boonyawat Aksornkitti, lecturer 101Technology, RMUTTO

Assignment• Paired assignment, due after class – Assess risk in flight operation and If you were a Flight Operation Officer (FOO), how would you mitigated risk – Assess risk in ATC and If you were an Air Traffic Controller (ATC), how would you mitigated riskInstitute of Aviation Boonyawat Aksornkitti, lecturer 102Technology, RMUTTO

Chapter 5 :Safety Management System (SMS)Institute of Aviation Boonyawat Aksornkitti, lecturer 103Technology, RMUTTO

5.1 Benefits of an SMS• An SMS is a management approach to controlling risk providing an outline to support safety culture within an organization.• SMS forms the center of the company’s safety efforts and serves as a link to other systems• provides the company’s management with a systematic roadmap for examining safety-related processesInstitute of Aviation Boonyawat Aksornkitti, lecturer 104Technology, RMUTTO

• Benefits to financial – Stability, safety and customer support – customers are aware some operations are safer than others – Possible reduction in insurance premiums through demonstration of control of safety risks or accidentInstitute of Aviation Boonyawat Aksornkitti, lecturer 105Technology, RMUTTO

– Good work/life balance practices, for example improve staff/crew morale – potentially lowering staff turnover and reducing training costs– A proactive approach to safety can be demonstrated with documented evidence in the event of an incidentInstitute of Aviation Boonyawat Aksornkitti, lecturer 106Technology, RMUTTO

• Benefit to Ergonomic (Human factor)– Ergonomics is all about changing the workplace to best-fit the worker’s comfort to optimize human well-being and modifying or redesigning the job, workstation, tool, SOPs or environment– Good ergonomic design makes the most efficient use of employees’ capabilities while ensuring that job demands do not exceed those capabilitiesInstitute of Aviation Boonyawat Aksornkitti, lecturer 107Technology, RMUTTO

• primary goal of ergonomics is to minimize employee hazards that lead to injuries and illnessesInstitute of Aviation Boonyawat Aksornkitti, lecturer 108Technology, RMUTTO

Institute of Aviation Boonyawat Aksornkitti, lecturer 109Technology, RMUTTO

5.2 Introduction• SMS is a system to assure the safe operation of aircraft through effective management of safety risk• This system is designed to improve safety by identifying hazards collecting and analyzing data and continuously assessing safety risks• The SMS seeks to proactively contain or mitigate risks before they result in aviation accidents and incidents.Institute of Aviation Boonyawat Aksornkitti, lecturer 110Technology, RMUTTO

5.3 SMS framework• the framework should be commensurate with the size of the organization• As well as the complexity of the products or services provided• The framework includes four components and twelve elementsInstitute of Aviation Boonyawat Aksornkitti, lecturer 111Technology, RMUTTO

4.3.1 Safety policies and objectives (create the frame ofreference for the SMS) 1) Management commitment and responsibility – In any organization, management controls the activities of personnel and the use of resources – Senior management develops and endorses the safety policy which is signed by the accountable executiveInstitute of Aviation Boonyawat Aksornkitti, lecturer 112Technology, RMUTTO

2) Safety accountabilities – Accountability means being ultimately responsible for safety performance, at the overall SMS level – The safety officer was the person in charge of identifying the safety, proposing solutions, and monitoring the effectiveness of the solutionsInstitute of Aviation Boonyawat Aksornkitti, lecturer 113Technology, RMUTTO

₋ The accountable executive, the responsibility for the overall safety performance, the authority to take action to ensure that the SMS is effective₋ A service provider is responsible for the safety performance of products or services provided by subcontractorsInstitute of Aviation Boonyawat Aksornkitti, lecturer 114Technology, RMUTTO

3) Appointment of the key safety personal– Criteria for a safety manager: safety management experience, operational experience, technical background to understand the systems that support operations, people skills, analytical and problem- solving skills, project management skills, oral and written communications skills– The safety manager is supported by staff, this will depend on the size of the organization and the nature and complexity of the organizationInstitute of Aviation Boonyawat Aksornkitti, lecturer 115Technology, RMUTTO

4) Coordination of emergency response planning – An emergency response plan (ERP) documents of all responsible personnel during aviation-related emergencies – The overall objective is to save lives5) SMS documentationInstitute of Aviation Boonyawat Aksornkitti, lecturer 116Technology, RMUTTO

4.3.2 Safety risk management (identify hazards, assess therelated risks and develop appropriate mitigations)1) Hazard identification- Based on a combination of reactive, proactive and predictive methods of safety data collection2) Safety risk assessment and mitigation– Severity – Probability Boonyawat Aksornkitti, lecturer 117Institute of AviationTechnology, RMUTTO

4.3.3 Safety assurance (monitor compliance with internationalstandards and national regulations)1) Safety performance monitoring and measurement (reporting systems)– Mandatory incident reporting systems require the reporting of certain types of events (e.g. serious incidents, runway incursions)– Voluntary reporting systems allow for the information related to observed hazards or careless errorsInstitute of Aviation Boonyawat Aksornkitti, lecturer 118Technology, RMUTTO

2) The management of change– Criticality assessments determine the systems, equipment or activities that are essential to the safe operation of aircraft.– Stability of systems and operational environments, include organizational growth or contraction, the expansion of products or services delivered, or the introduction of new technologies. Unplanned changes may include economic cycles, labor unrest, changes to the political, or regulatoryInstitute of Aviation Boonyawat Aksornkitti, lecturer 119Technology, RMUTTO

₋ Past performance, process should be employed to anticipate and monitor safety performance under situations of change3) Continuous improvement of SMS – The monitoring of an organization’s safety performance indicators to effectiveness of an SMSInstitute of Aviation Boonyawat Aksornkitti, lecturer 120Technology, RMUTTO

4.3.4 Safety Promotion (provides the awareness and training) 1) Training and education – Provide training to appropriate staff, regardless of their level in the organization – ensure that personnel are competent to perform their safety-related duties.Institute of Aviation Boonyawat Aksornkitti, lecturer 121Technology, RMUTTO

2) Safety communication ‒ Communicate information regarding the safety issues through bulletins and briefings ‒ Distributed widelyInstitute of Aviation Boonyawat Aksornkitti, lecturer 122Technology, RMUTTO

Assignment• Paired assignment, due after class – Each group create SMS framework for (choose 1 of 4) I. Bang Phra Airport II. Don Mueang International Airport III. HTMS Chakri Naruebet IV. Suvarnabhumi AirportInstitute of Aviation Boonyawat Aksornkitti, lecturer 123Technology, RMUTTO

Chapter 6 Safety cultureInstitute of Aviation Boonyawat Aksornkitti, lecturer 124Technology, RMUTTO

6.1 Introduction• Safety culture refers to individuals and groups will commit to personal responsibility for safety act to preserve and enhance safety concerns;• To learn, adapt and modify (both individual and organizational) behavior based on mistakes and be rewarded in a manner consistent with these valuesInstitute of Aviation Boonyawat Aksornkitti, lecturer 125Technology, RMUTTO

6.2 Organization types• Pathological: The organization cares less about safety than about not being caught• Reactive: The organization looks for fixes to accidents and incidents after they happenInstitute of Aviation Boonyawat Aksornkitti, lecturer 126Technology, RMUTTO

• Calculative: The organization has systems to manage hazards, however staffs and management do not believe its important for the operation• Proactive: The organization has systems to manage hazards and staffs and management have begun to beliefs that safety is genuinely worthwhileInstitute of Aviation Boonyawat Aksornkitti, lecturer 127Technology, RMUTTO

• Generative: Safety behavior is fully integrated into everything the organization. The safety and safe working is fully internalized as beliefs, almost to the point of invisibilityInstitute of Aviation Boonyawat Aksornkitti, lecturer 128Technology, RMUTTO

6.3 Elements of safety culture• Reporting culture: – people are encouraged to voice safety concerns, report their errors or near-misses – when safety concerns are reported they are analyzed and appropriate action is takenInstitute of Aviation Boonyawat Aksornkitti, lecturer 129Technology, RMUTTO

• Flexible Culture – a culture capable of adapting effectively to changing demands – ability to switch from centralized mode to a more decentralized professional modeInstitute of Aviation Boonyawat Aksornkitti, lecturer 130Technology, RMUTTO

• Learning Culture – people are encouraged to develop and apply their own skills and knowledge to enhance organizational safety – staff are updated on safety issues by management – safety reports are feed back to staff so that everyone learns the lessonsInstitute of Aviation Boonyawat Aksornkitti, lecturer 131Technology, RMUTTO

• Just culture– people are encouraged for providing essential safety- related information– errors must be understood but wilful violations cannot be accepted– the workforces know and agrees on what is acceptable and unacceptableInstitute of Aviation Boonyawat Aksornkitti, lecturer 132Technology, RMUTTO

– Just Culture is, I. \"A way of safety thinking that promotes a questioning attitude, II. is complacency, is committed to excellence, III. and fosters both personal accountability and self- regulation in safety mattersInstitute of Aviation Boonyawat Aksornkitti, lecturer 133Technology, RMUTTO

6.4 Developing safety culture• Organizational Commitment –refers to the upper-level management identifies safety as a core value or guiding principles of the organization.Institute of Aviation Boonyawat Aksornkitti, lecturer 134Technology, RMUTTO

• Management Involvement –refers to both upper- and middle-level managers get personally involved in critical safety activities within the organizationInstitute of Aviation Boonyawat Aksornkitti, lecturer 135Technology, RMUTTO

• Employee Empowerment – refers to an individual’s perceptions or attitudes as a result of a delegation of authority by upper- level management. – an empowered attitude can lead to increased motivation to “make a difference,” for organizational safetyInstitute of Aviation Boonyawat Aksornkitti, lecturer 136Technology, RMUTTO

• Reward Systems – a fair evaluation and reward system is needed to promote safe behavior and discourage or correct unsafe behavior. – one of the key components of an organization’s safety culture is both behaviors are evaluated and the consistency in rewards or penalties are assigned according to evaluationsInstitute of Aviation Boonyawat Aksornkitti, lecturer 137Technology, RMUTTO

• Reporting Systems – Reporting System is the key to identifying the weakness and vulnerability of safety – The willingness and ability of an organization to proactively learn and adapt its operations based on incidents and near misses before an accident occurs is critical to improving safetyInstitute of Aviation Boonyawat Aksornkitti, lecturer 138Technology, RMUTTO

6.5 Safety strategy• Culture– Organizational safety culture means everyone from the chief executive through the entire company is committed to continuous safety improvement,– always watching for potential hazards and risks, and then developing and implementing appropriate to either eliminate the hazards or reduce risks to an acceptable levelInstitute of Aviation Boonyawat Aksornkitti, lecturer 139Technology, RMUTTO

• Codes of Practice – The company must learn from itself with innovative new safety and security – A Safety Management System (SMS) provides a mechanism for organization to continuously improve safety.Institute of Aviation Boonyawat Aksornkitti, lecturer 140Technology, RMUTTO

• Regulatory Framework – Differences in rules and procedures between States around the world represent inherent safety deficiencies. There is need for harmonized rules, based on realistic and effective international standards.Institute of Aviation Boonyawat Aksornkitti, lecturer 141Technology, RMUTTO

• Adherence to Industry Standards – Industry codes of practice in aviation standards are developed and maintained by industry governing bodies. However, it is incumbent on operators to apply them and continually test their effectiveness.Institute of Aviation Boonyawat Aksornkitti, lecturer 142Technology, RMUTTO

• Safety Equipment and Technology – Continued development of systems such as Enhanced Ground Proximity Warning Systems (GPWS) and Airborne Collision Avoidance Systems (ACAS)Institute of Aviation Boonyawat Aksornkitti, lecturer 143Technology, RMUTTO

• Data Collection and Analysis – provides the critical information needed to influence positive change• Support Services – provided for training, flight planning and operational management.Institute of Aviation Boonyawat Aksornkitti, lecturer 144Technology, RMUTTO

• Air Navigation and Airport ServicesInstitute of Aviation Boonyawat Aksornkitti, lecturer 145Technology, RMUTTO

6.6 Safety culture indicators• The following indicators of an organization's safety culture are the hallmarks of an effective safety system– People feel encouraged to voice safety concerns and to report events resulting from human error without fear– When such concerns are reported they are analyzed and appropriate action is takenInstitute of Aviation Boonyawat Aksornkitti, lecturer 146Technology, RMUTTO

– People are encouraged to develop and apply their own skills and knowledge to enhance organizational safety.– There is never the complacent view that the safety system has achieved its goals and needs no further modification.– Staff are regularly updated by management on safety issues.Institute of Aviation Boonyawat Aksornkitti, lecturer 147Technology, RMUTTO

– Management acknowledges all safety concerns and safety reports are fed back to staff so that everyone can learns the lessons.– Management allocate of sufficient resources and the prioritization of safety ahead of cost.Institute of Aviation Boonyawat Aksornkitti, lecturer 148Technology, RMUTTO

– Management gives timely, relevant and clear feedback on decisions, even if the decision is to do nothing.Institute of Aviation Boonyawat Aksornkitti, lecturer 149Technology, RMUTTO

6.7 Measuring tools• Safety Culture Indicator Scale Measurement System (SCISMS)– Safety Culture Indicator Scale Measurement System (SCISMS) is an integrated method of organizational self- assessment– instrument designed to aid operators in measuring indicators of their organization’s safety culture, targeting areas that work particularly well and areas in need of improvement.Institute of Aviation Boonyawat Aksornkitti, lecturer 150Technology, RMUTTO