© 2004 EUROCONTROL TUNIS, 3-4 June 2004 1 Fundamentals of a Safety Framework Dr. Erik Merckx EUROCONTROL EUROCONTROL Head of Safety Enhancement Business

© 2004 EUROCONTROL TUNIS, 3-4 June 2004 1

Fundamentals of aFundamentals of aSafety FrameworkSafety Framework

Dr. Erik MerckxDr. Erik Merckx

EUROCONTROLEUROCONTROL

Head of Safety Enhancement Business DivisionHead of Safety Enhancement Business Division


Safety Regulation Safety Management- ATM regulation - Achieve- Independent view - Assure- Establish rules - Promote- Monitor !

Pan- Safety Regulation EUROCONTROLEuropean Commission Agency

National Civil Aviation Air NavigationAuthority (MoT) Service Provider

JAA/EASA co-ordination for Airborne regulations

Safety Framework : SeparationSafety Framework : Separation


Safety ManagementSafety Management


Contents of this PresentationContents of this Presentation

What is a Safety Management System (SMS) all about What is a Safety Management System (SMS) all about and what does it do for meand what does it do for me

The maturity of SMS in Eurocontrol member StatesThe maturity of SMS in Eurocontrol member States Cost of SafetyCost of Safety Cost of lack of SafetyCost of lack of Safety The need for European wide reporting of incidentsThe need for European wide reporting of incidents The European Strategic Safety Action Plan (SSAP)The European Strategic Safety Action Plan (SSAP)


Safety from the CEO/DG PerspectiveSafety from the CEO/DG Perspective

The CEO or DG wants to be sure that the:The CEO or DG wants to be sure that the:

Services given to the Airlines are safeServices given to the Airlines are safe Government is satisfied with the safety levels of his Government is satisfied with the safety levels of his

organisationorganisation Regulator is satisfied with the safety levels of his Regulator is satisfied with the safety levels of his

organisationorganisation General Public believes that his organisation is safeGeneral Public believes that his organisation is safe Media are confident that the organisationMedia are confident that the organisation is safe is safe

What is a Safety Management System (SMS) all about and what does it do for meWhat is a Safety Management System (SMS) all about and what does it do for me



The CEO or DG does not want :The CEO or DG does not want :

Überlingen, 1 July 2002

Linate, 8 October 2001




How does the CEO or DG know that the …. How does the CEO or DG know that the ….

Services given to the Airlines are safeServices given to the Airlines are safe Government is satisfied with the safety levels of his Government is satisfied with the safety levels of his

organisationorganisation Regulator is satisfied with the safety levels of his Regulator is satisfied with the safety levels of his

organisationorganisation ………… ……......




How does the CEO or DG know that …. How does the CEO or DG know that ….

The risk of an accident is as low as he wants it to The risk of an accident is as low as he wants it to be ( even if there has not been an accident for the be ( even if there has not been an accident for the last 25 years ) ?last 25 years ) ?

The risk of a serious incident is as low as he wants The risk of a serious incident is as low as he wants it to be ?it to be ?

He is being given the correct information about how He is being given the correct information about how safe his organisation is ? safe his organisation is ?

His organisation is getting better or worse in terms His organisation is getting better or worse in terms of safety ? of safety ?




How does the CEO or DG know …. How does the CEO or DG know ….

What the most important investments are to What the most important investments are to continue to provide safe services, or to improve continue to provide safe services, or to improve safe services ?safe services ?

Whether his organisation has the right quantity and Whether his organisation has the right quantity and quality of people ?quality of people ?

Whether people need training, advanced training, Whether people need training, advanced training, refresher training … ?refresher training … ?




The CEO or DG therefore needs …. The CEO or DG therefore needs ….

A reliable information system on safety, the A reliable information system on safety, the standards of which being as high as an accounting standards of which being as high as an accounting systemsystem

A system that covers all the work in his A system that covers all the work in his organisation that has an impact on safetyorganisation that has an impact on safety

A system that he can fully trustA system that he can fully trust A system that allows him to make correct decisions A system that allows him to make correct decisions

for the future of safety in his organisationfor the future of safety in his organisation



Safety from the CEO PerspectiveSafety from the CEO Perspective

The CEO therefore needs a …. The CEO therefore needs a ….

A reliable information system on safety, the A reliable information system on safety, the standards of which being as high as an accounting standards of which being as high as an accounting systemsystem

A system that covers all the work in his A system that covers all the work in his organisation that has an impact on safetyorganisation that has an impact on safety

A system that he can fully trustA system that he can fully trust A system that allows him to make correct decisions A system that allows him to make correct decisions

for the future of safety in his organisationfor the future of safety in his organisation



What is aWhat is aSafety Management System ?Safety Management System ?



What is aWhat is aSafety Safety ManagementManagement System ? System ?



What is aWhat is aSafety Management Safety Management SystemSystem



What is aWhat is aSafety Management Safety Management System

Safety Culture Leadership Commitment to resources Balanced decisions People Management Willingness to learn Willingness to share expertise ……………….



What is aWhat is aSafety Safety Management System System

Methodology Documentation Regulatory Compliance Traceability Performance Indicators Measuring Progress Reviewing Processes ……………….



What is aWhat is aSafety Management Safety Management System

Safety Culture Leadership Commitment to resources Balanced decisions People Management Willingness to learn Willingness to share expertise ……………….


© 2004 EUROCONTROL TUNIS, 3-4 June 2004 18Source: Study by BELGOCONTROL, early 2002

Resources for a Corporate Safety Function as a % of total personnel

1,2%

0,3%0,2%0,4%

0,6%

0,2%0,5%

3,2%

0,8%

0,4%0,3%0,5%

1,5%

0,0%

0,5%

1,0%

1,5%

2,0%

2,5%

3,0%

3,5%

A B C D E F G H I J K L M

Examples ofExamples of“Safety “Safety ManagementManagement System” Topics System” Topics

Resources: Corporate Safety Management FunctionResources: Corporate Safety Management Function

Average of3.5 - 4.5 FTE

per 1000


© 2004 EUROCONTROL TUNIS, 3-4 June 2004 19Source: Study by BELGOCONTROL, early 2002


Resources: Corporate Safety Management FunctionResources: Corporate Safety Management Function


CorporateOperations

Engineering

Admin / FinanceSafety

Average of3.5 - 4.5 FTE

per 1000

CEO



Safety Culture and Leadership :Safety Culture and Leadership :

Promoting an non-punitive and open incident reporting culture : the Danisch example





Airport hot spots in the AIP : the Belgian example





Learning organisation: willingness to monitor safety performance and to discuss openly within the organisation, for the sake of lessons learnt and prevention purposes :

Willingness to share lessons learnt with other ANSP’s :


The French example: SCTA, “Bulletin Securite”




ANSP’s work together to audit eachother’s safety activities and learn from eachother for safety improvement


The German (DFS), Austrian (Austrocontrol) and Swiss (Skyguide) example






Examples ofExamples of“Safety Management “Safety Management SystemSystem” Topics” Topics

Safety Performance Indicators and Measuring Progress: Safety Performance Indicators and Measuring Progress: there is more to measure than “Airprox” :there is more to measure than “Airprox” :

Safety discussions and actions at senior management and Safety discussions and actions at senior management and directors’ meetingsdirectors’ meetings

Follow up of corrective actions coming from safety Follow up of corrective actions coming from safety surveys surveys

Voluntary safety occurrence reporting schemesVoluntary safety occurrence reporting schemes Interviews with ATCO’s and Maintenance Engineers on Interviews with ATCO’s and Maintenance Engineers on

their work and the issues as they see themtheir work and the issues as they see them




Safety Performance Indicators and Measuring Progress: Safety Performance Indicators and Measuring Progress: there is more to measure than “Airprox” :there is more to measure than “Airprox” :

Measuring the participation to, quality of and effectiveness Measuring the participation to, quality of and effectiveness of Refresher Courses ( vs. number and type of incidents)of Refresher Courses ( vs. number and type of incidents)

Measuring the involvement from all stakeholders in safety Measuring the involvement from all stakeholders in safety cases (engineers, ATCO’s, airport, airline, …)cases (engineers, ATCO’s, airport, airline, …)

Measurement of the systematic use of safety cases in all Measurement of the systematic use of safety cases in all ANSP activities: hardware changes, software changes, ANSP activities: hardware changes, software changes, changes in airspace design, changes in SID’s, changes in changes in airspace design, changes in SID’s, changes in ATCO manning, ….ATCO manning, ….








The methodology of an SMS can be based on a Quality The methodology of an SMS can be based on a Quality Management System (QMS )Management System (QMS )

An SMS can, together with a QMS, be part of an overall An SMS can, together with a QMS, be part of an overall Management SystemManagement System

In a number of countries, the ISO 9001 model is used as In a number of countries, the ISO 9001 model is used as the basis for an SMSthe basis for an SMS

But a QMS is not a SMS!!But a QMS is not a SMS!!




Using an ISO 9001 model for an SMS, one would Using an ISO 9001 model for an SMS, one would start by making an inventory of:start by making an inventory of:

1. All the key processes in the company that have an 1. All the key processes in the company that have an effect on the quality of the services that are given effect on the quality of the services that are given ( example: one of the key processes is how to do ( example: one of the key processes is how to do ATS without traffic delays )ATS without traffic delays )

2. Identify from above all the key processes in the 2. Identify from above all the key processes in the company that have an impact on the safety of the company that have an impact on the safety of the services that are given (example: one of the key services that are given (example: one of the key processes is how to do ATS without risk of incidents processes is how to do ATS without risk of incidents and accidentsand accidents ) )



Risk Assessment New Systems


Examples of Key Processes with impact on safety:Examples of Key Processes with impact on safety:


Recruitment/Selection

Training

CompetencyChecks

Refresher/Advanced Training

Procedures Operational Processes

Interfaces ATS and CNS

CNS Maintenance Procedures

Emergency Procedures

Risk Assessment New ATC

Procedures

Risk Assessment Airspace Changes

Risk Assessment Software Changes

Incident Reporting

Incident Investigation

Lessons Learnt

Safety Surveys

and Follow-up

All elements of the SMS described in policies, well documented, communicated, updated, data recorded




Means of Compliance with ESARR’sMeans of Compliance with ESARR’s



Training

CompetencyChecks







Procedures



Incident Reporting


Lessons Learnt

Safety Surveys

and Follow-up


ESARR 3ESARR 3











Procedures



Incident Reporting


Lessons Learnt

Safety Surveys

and Follow-up


Training

CompetencyChecks


ESARR 5ESARR 5




Training

CompetencyChecks









Incident Reporting


Lessons Learnt

Safety Surveys

and Follow-up

ESARR 4ESARR 4




Procedures






Procedures




Training

CompetencyChecks









Safety Surveys

and Follow-up

ESARR 2ESARR 2


Incident Reporting


Lessons Learnt


The maturity of SMS in EUROCONTROL member States, beginning 2003The maturity of SMS in EUROCONTROL member States, beginning 2003

Maturity of SMS Implementation in Maturity of SMS Implementation in EUROCONTROL ANSPsEUROCONTROL ANSPs

Source: Study by AEA for EUROCONTROL, early 2003

Maturity Scores of ANSPs, January 2003

0

20

40

60

80

100

1 2 3 4 5 6 7 8 9 10111213141516171819202122232425262728293031323334353637

Air Navigation Service Providers

Ma

turi

ty S

co

re %






0

20

40

60

80

100

1 2 3 4 5 6 7 8 9 10111213141516171819202122232425262728293031323334353637


Ma

turi

ty S

co

re %

35%

70%






0

20

40

60

80

100

1 2 3 4 5 6 7 8 9 10111213141516171819202122232425262728293031323334353637


Ma

turi

ty S

co

re %

High Traffic Growth


Observations on SMS Implementation Observations on SMS Implementation


Two Major ConclusionsTwo Major Conclusions

Implementation of Safety Management System (SMS) Implementation of Safety Management System (SMS) in most ECAC States still has a long way to goin most ECAC States still has a long way to go

A number of ANSP’s with low SMS maturity will have A number of ANSP’s with low SMS maturity will have an increased safety risk due to high traffic growthan increased safety risk due to high traffic growth



Observations on SMS Implementation Observations on SMS Implementation


Two Major Concerns – key inhibitorsTwo Major Concerns – key inhibitors

Leadership & CommitmentLeadership & Commitment ResourcesResources

Solving these issues is essential in making progressSolving these issues is essential in making progress



Observations on SMS ImplementationObservations on SMS Implementation


Other IssuesOther Issues

Data reporting and sharing: Yes, but……Data reporting and sharing: Yes, but…… Needs of Individual States are differentNeeds of Individual States are different Access to training in Safety Management is lackingAccess to training in Safety Management is lacking Technical Safety Issues confuse even the expertsTechnical Safety Issues confuse even the experts Effectiveness & Appropriateness: small organisations Effectiveness & Appropriateness: small organisations

struggle with one size fits all approachstruggle with one size fits all approach





The following features appear to have helped The following features appear to have helped progress:progress:

Starting early. At least 3-5 years are required for a Starting early. At least 3-5 years are required for a mature SMSmature SMS

An organisational culture that embraces proactive An organisational culture that embraces proactive leadership of Safety/Qualityleadership of Safety/Quality

The discipline of an ISO 9000 certified organisation.The discipline of an ISO 9000 certified organisation.





The following features appear to have helped The following features appear to have helped progress (Cont’d):progress (Cont’d):

Regional or peer groups that share information and Regional or peer groups that share information and provide mutual assistance.provide mutual assistance.

Being close to EUROCONTROLBeing close to EUROCONTROL


Documents

© 2004 EUROCONTROL TUNIS, 3-4 June 2004 1 Fundamentals of a Safety Framework Dr. Erik Merckx EUROCONTROL EUROCONTROL Head of Safety Enhancement Business