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Chapter 8 SMS PLANNING
8.1 OBJECTIVE AND CONTENTS
This chapter describes the requirements associated with the planning of an SMS, including the structure of an SMS implementation plan. These requirements are described using as reference the ICAO SMS framework. Although the
ICAO SMS framework is introduced in full, this chapter discusses only the first component of the framework, safety policy and objectives; the other three components of the ICAO SMS framework safety risk management, safety
assurance and safety promotion are discussed in Chapter 9. This chapter includes the following topics:
a The components and elements of an SMS; b The ICAO SMS framework;
c Management commitment and responsibility; d
Safety accountabilities;
e Appointment of key safety personnel; f
Coordination of emergency response planning; g SMS documentation; and
h SMS implementation plan.
8.2 THE COMPONENTS AND ELEMENTS OF AN SMS 8.2.1
There are four components of an SMS that represent the two core operational processes underlying an SMS, as well as the organizational arrangements that are necessary to support the two core operational processes. The
four components of an SMS are: a safety policy and objectives;
b safety risk management; c safety assurance; and
d safety
promotion. 8.2.2
The two core operational activities of an SMS are safety risk management and safety assurance. Safety risk management must be considered as an early system design activity, aimed at initial identification of hazards in the
context in which operations related to the delivery of services will take place. Safety assurance must be considered as a continuous, ongoing activity aimed at:
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a ensuring that the initial identification of hazards and assumptions in relation to the assessment of the consequences of safety risks, and the defences that exist in the system as a means of control, remain
valid and applicable as the system evolves over time; andor b introducing changes in the defences as necessary.
Thus, hazard identification can be considered as a one-stop or one-shot activity that is conducted either during system design or when facing significant changes to the original system. Safety assurance, on the other hand, is a daily activity
that is conducted non-stop to ensure that the operations that support the delivery of services are properly protected against hazards. Simply put, hazard identification provides the initial frame of reference against which assurance of
safety is conducted on a daily basis. 8.2.3
These two core operational activities take place under the umbrella provided by safety policy and objectives and are supported by safety promotion. These two components of an SMS encompass the necessary
organizational arrangements without which hazard identification and safety risk management would be impossible, or seriously flawed. It can therefore be considered that safety risk management and safety assurance are the actual “doing”
of SMS; they are the operational activities underlying a performing SMS. Safety policies and objectives and safety promotion, on the other hand, provide the frame of reference as well as the support that allow the operational activities
underlying safety risk management and safety assurance to be effectively conducted. 8.2.4
The four components discussed in the previous paragraphs constitute the basic building blocks of an SMS, in that they represent the four overarching safety management processes that underlie the actual management system
SMS. Each component is subdivided into elements, which encompass the specific subprocesses, specific tasks or tools that the actual management system must engage or utilize in order to conduct the management of safety just as
any other core business function or organizational process. 8.2.5
The safety policy and objectives component is composed of five elements: a management commitment and responsibility;
b safety
accountabilities; c appointment of key safety personnel;
d coordination of emergency response planning; and e
SMS documentation.
8.2.6 The safety risk management component is composed of two elements:
a hazard identification; and b risk assessment and mitigation.
8.2.7 The safety assurance component is composed of three elements:
a safety performance monitoring and measurement; b the management of change; and
c continuous improvement of the SMS. 8.2.8
The safety promotion component is composed of two elements:
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a training and education; and b
safety communication.
8.3 THE ICAO SMS FRAMEWORK
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