ICAO Safety Management Systems (SMS) CourseModule N° 4 – Hazards

Revision N° 11 ICAO Safety Management Systems (SMS) Course 29/09/08

Module N° 4 – Hazards

Module N° 4 ICAO Safety Management Systems (SMS) Course 2

Building an SMS

Module 1SMS course introduction

Module 2Basic safety

concepts

Module 3Introduction

to safety management

Module 4Hazards

Module 5Risks

Module 6SMS regulation

Module 7Introduction to SMS

Module 8SMS planning

Module 9SMS operation

Module 10Phased approach to SMS Implementation

SafetyManagementSystem

Module 3Introduction

to safety management

Module 4Hazards

Module 5Risks

Management

Module N° 4 ICAO Safety Management Systems (SMS) Course 3

Objective

At the end of this module, participants will be able to apply

the fundamentals of hazard identification and analysis

through a case study.

Module N° 4 ICAO Safety Management Systems (SMS) Course 4

Outline

Two definitionsFirst fundamental – Understanding hazards Second fundamental – Hazard identificationThird fundamental – Hazard analysis Fourth fundamental – Documentation of hazardsQuestions and answersPoints to rememberExercise 04/01 – International airport construction project (See Handout N° 3)

ICAO Safety Management Systems (SMS) CourseModule N° 4 – Hazards

Module N° 4 ICAO Safety Management Systems (SMS) Course 5

Two definitions

Hazard – Condition, object or activity with the potential of causing injuries to personnel, damage to equipment or structures, loss of material, or reduction of ability to performa prescribed function.Consequence – Potential outcome(s) of the hazard.

A wind of 15 knots blowing directly across the runway is a hazard. The potential that a pilot may not be able to control the aircraft during takeoff or landing is one of the consequences of the hazard.

Module N° 4 ICAO Safety Management Systems (SMS) Course 6

First fundamental – Understanding hazards

There is a natural tendency to describe hazards as their consequence(s).

“Unclear aerodrome signage” vs. “runway incursion”

Stating a hazard as consequence(s) disguises the nature of the hazardinterferes with identifying other important consequences.

Well-named hazards allow to infer the sources or mechanisms of the hazard allow to evaluate the loss outcome(s).

Module N° 4 ICAO Safety Management Systems (SMS) Course 7

First fundamental – Understanding hazards

Types of hazards

Natural

Technical

Economic

Module N° 4 ICAO Safety Management Systems (SMS) Course 8

Examples of natural hazards

Severe weather or climatic events:

E.g.: hurricanes, major winter storms, drought, tornadoes, thunderstorms lighting, and wind shear.

Adverse weather conditions:E.g.: Icing, freezing precipitation, heavy rain, snow, winds, and restrictions to visibility.

ICAO Safety Management Systems (SMS) CourseModule N° 4 – Hazards

Module N° 4 ICAO Safety Management Systems (SMS) Course 9

Examples of natural hazards

Geophysical events:E.g.: earthquakes, volcanoes, tsunamis, floods and landslides.

Geographical conditions:E.g.: adverse terrain or large bodies of water.

Environmental events:E.g.: wildfires, wildlife activity, and insect or pest infestation.

Public health events:E.g.: epidemics of influenza or other diseases.

Module N° 4 ICAO Safety Management Systems (SMS) Course 10

Examples of technical hazardsDeficiencies regarding:

E.g.: aircraft and aircraft components, systems, subsystems and related equipment.E.g.: an organization’s facilities, tools, and related equipment.E.g.: facilities, systems, sub-systems and related equipment that are external to the organization.

Module N° 4 ICAO Safety Management Systems (SMS) Course 11

Examples of economics hazards

Major trends related to:

Growth.

Recession.

Cost of material or equipment.

Etc.

Module N° 4 ICAO Safety Management Systems (SMS) Course 12

Second fundamental – Hazard identification

In order to identify hazards, consider:

Design factors, including equipment and task design.

Procedures and operating practices, including documentation and checklists.

Communications, including means, terminology and language.

…

ICAO Safety Management Systems (SMS) CourseModule N° 4 – Hazards

Module N° 4 ICAO Safety Management Systems (SMS) Course 13

Second fundamental – Hazard identification

… consider:Organizational factors, such as company policies for recruitment, training, remuneration and allocation of resources.Work environment factors, such as ambient noise and vibration, temperature, lighting and protective equipment and clothing….

Module N° 4 ICAO Safety Management Systems (SMS) Course 14

Second fundamental – Hazard identification

… consider:Regulatory factors, including the applicability and enforceability of regulations; certification of equipment, personnel and procedures; and the adequacy of oversight.Defences including detection and warning systems, and the extent to which the equipment is resilient against errors and failures. Human performance, including medical conditions and physical limitations.

Module N° 4 ICAO Safety Management Systems (SMS) Course 15

Sources of hazard identificationInternal

Flight Data AnalysisCompany voluntary reporting systemAudits and surveys

ExternalAccident reportsState mandatory occurrence system

As a reminderPredictiveProactiveReactive

Module N° 4 ICAO Safety Management Systems (SMS) Course 16

Hazard identification

By whom?By anybody By designated personnel

How?Through formal processesDepends on the organization

When?AnytimeUnder specific conditions

ICAO Safety Management Systems (SMS) CourseModule N° 4 – Hazards

Module N° 4 ICAO Safety Management Systems (SMS) Course 17

Hazard identification

Specific conditions

Unexplained increase in safety-related events or infractions.

Major operational changes are foreseen.

Periods of significant organizational change.

Module N° 4 ICAO Safety Management Systems (SMS) Course 18

Third fundamental – Hazard analysis

ABC of hazard analysisA – State the generic hazard (hazard statement)

Airport constructionB – Identify specific components of the hazard

Construction equipmentClosed taxiways…

C – Naturally leading to specific consequence(s)Aircraft colliding with construction equipment Aircraft taking wrong taxiway…

Module N° 4 ICAO Safety Management Systems (SMS) Course 19

Third fundamental – Hazard analysis

Efficient and safe operations or provision of service require a constant balance between production goals…

maintaining regular aerodrome operations during a runway construction project

…and safety goalsmaintaining existing margins of safety in aerodrome operations during runway construction project

Aviation workplaces may contain hazards which may not be cost-effective to address even when operations must continue (further discussed in Module 5).

Module N° 4 ICAO Safety Management Systems (SMS) Course 20

Fourth fundamental – Documentation of hazards

Appropriate documentation management is important as:

It is a formal procedure to translate operational safety data into hazard-related information. It becomes the “safety library” of an organization.

ICAO Safety Management Systems (SMS) CourseModule N° 4 – Hazards

Module N° 4 ICAO Safety Management Systems (SMS) Course 21

Fourth fundamental – Documentation of hazards

Tracking and analysis of hazards is facilitated by standardizing:

DefinitionsUnderstandingValidation Reporting MeasurementManagement

Module N° 4 ICAO Safety Management Systems (SMS) Course 22

Fourth fundamental – Documentation of hazards

Reactive method•ASR•MOR•Incident reports•Accident reports

Proactive method•ASR•Surveys•Audits

Predictive method•FDA•Direct observation systems

Method Identification Management Documentation Information

Inform person(s)

responsible for implementing

strategies

Trend analysis

Haza

rds

Haza

rds

Haza

rds

Haza

rds

FeedbackFeedback

Develop control and mitigation

strategies

Assignresponsibilities

Implement strategies

Safety bulletins

Report distribution

Seminars and workshops

Assess the consequences and prioritize

the risks

Safety managementinformation

Re-evaluate strategies

and processes

Module N° 4 ICAO Safety Management Systems (SMS) Course 23

The focus of hazard identificationHazard identification is a wasted effort if restricted to the aftermath of rare occurrences where there is serious injury, or significant damage.

1 1 –– 55AccidentsAccidents

30 30 –– 100100Serious incidentsSerious incidents

100 100 –– 10001000IncidentsIncidents

1000 1000 –– 40004000Latent conditionsLatent conditions

“Practical drift”

“Practical drift”SMS

Module N° 4 ICAO Safety Management Systems (SMS) Course 24

The focus of hazard identificationHazard identification is a wasted effort if restricted to the aftermath of rare occurrences where there is serious injury, or significant damage.

1 1 –– 55AccidentsAccidents

30 30 –– 100100Serious incidentsSerious incidents

100 100 –– 10001000IncidentsIncidents

1000 1000 –– 40004000Latent conditionsLatent conditions

“Practical drift”

“Practical drift”SMS

ICAO Safety Management Systems (SMS) CourseModule N° 4 – Hazards

Module N° 4 ICAO Safety Management Systems (SMS) Course 25

Questions and answersHazards

Module N° 4 ICAO Safety Management Systems (SMS) Course 26

Questions and answers

Q: Define the concept of hazard. A:

Hazard – Condition, object or activity with the potentialof causing injuries to personnel, damage to equipment or structures, loss of material, or reduction of ability to perform a prescribed function.

Slide number: 5

Module N° 4 ICAO Safety Management Systems (SMS) Course 27

Questions and answers

Q: Provide three examples of areas/factors to consider when identifying hazards. A:

Design factors, including equipment and task design.Procedures and operating practices, including documentation and checklists.Communications, including means, terminology and language

Slide number: 12

Module N° 4 ICAO Safety Management Systems (SMS) Course 28

Questions and answers

Q: Name three specific circumstances when hazard identification is essential.

A:

Unexplained increase in safety-related events or infractions.

Major operational changes are foreseen.

Periods of significant organizational change.

Slide number: 17

ICAO Safety Management Systems (SMS) CourseModule N° 4 – Hazards

Module N° 4 ICAO Safety Management Systems (SMS) Course 29

Points to remember

1. Hazards have potential consequences.

2. Sources of hazard identification

3. ABC of hazard management.

4. Hazard documentation: the “safety library” of an

organization.

Module N° 4 ICAO Safety Management Systems (SMS) Course 30

Hazards

Exercise 04/01 – International airportconstruction project (Handout N° 3)

Module N° 4 ICAO Safety Management Systems (SMS) Course 31

International airport construction project

Group activity:A facilitator will be appointed, who will coordinate the discussion. A summary of the discussion will be written on flip charts, and a member of the group will brief on their findings in a plenary session.

Scenario:Construction project to extend and repave one of the two crossing runways at an international airport (100,000 movements a year).

Module N° 4 ICAO Safety Management Systems (SMS) Course 32

Aerodrome layout

ICAO Safety Management Systems (SMS) CourseModule N° 4 – Hazards

Module N° 4 ICAO Safety Management Systems (SMS) Course 33

Three-phase construction project

Module N° 4 ICAO Safety Management Systems (SMS) Course 34

Scope of the work

Phase 1:Extend the length of RWY 09-27 by 900 meters westward and width from 30 to 45 meters from a point 100 m from the intersection with RWY 18-36, and strengthen the runway extension (from asphalt to concrete) to increase its Pavement Classification Number (PCN). Extend the length of TWY Delta by 900 meters westward.Estimated time to complete the work:

Seven (7) months.

Module N° 4 ICAO Safety Management Systems (SMS) Course 35

Scope of the work

Phase 2:

Construct and enlarge new threshold entrance and holding zone at TWY Charlie.

Extend the width of RWY 09-27 from 30 to 45 meters and strengthen (from asphalt to concrete) this part of the runway up to a point 200 m before intersection TWY A-B to increase its PCN.

Estimated time to complete the work:

Five (5) months.

Module N° 4 ICAO Safety Management Systems (SMS) Course 36

Scope of the work

Phase 3:

Complete the construction work of RWY 09-27 for the central area of the last 350 m at the intersection of RWY 09-27 and RWY 18-36 (from asphalt to concrete), increase its width from 30 to 45 meters and its PCN.

Estimated time to complete the work:

Two (2) months.

ICAO Safety Management Systems (SMS) CourseModule N° 4 – Hazards

Module N° 4 ICAO Safety Management Systems (SMS) Course 37

Scope of the work

Runway 18-36 utilization during the construction work

Continuous utilization of RWY 18-36 during the three-

phase construction project.

RWY 18-36 length is 3.850 m and the distance available

from threshold RWY 18 to intersection RWY 09-27 is

2.600 m.

Information must be provided to airport users.

Module N° 4 ICAO Safety Management Systems (SMS) Course 38

Identify hazards

Your taskIdentify the hazards using brainstorming techniques.

Brainstorm a list of possible hazards, their components and their consequences (use a flip chart).

Complete the attached log (Table 04/01) as follows:List type of operation or activityState the generic hazard (hazard statement) Identify specific components of the hazardList hazard-related consequences

It is recommended to conduct the analysis per phase of construction.

Module N° 4 ICAO Safety Management Systems (SMS) Course 39

Table 04/01 – Hazard identificationType of

operationor activity

Generic hazard (hazard statement)

Specific components of

the hazard N°

1

2

3

4

5

Hazard-related consequences

Revision N° 11 ICAO Safety Management Systems (SMS) Course 29/09/08

Module N° 4 – Hazards