Module N° 6 – SMS regulation Safety Management Systems (SMS) Course

Module NModule N° 6 – SMS° 6 – SMSregulationregulation

Safety Management Systems (SMS) CourseSafety Management Systems (SMS) Course

Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 2

Building an SMS

Module 6SMS regulation

Module 7Introduction to SMS

Module 8SMS planning

Module 9SMS operation

Module10 Phased approach to SMS

implementation

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

Module10 Phased approach to SMS

implementation

SafetySafety

ManagementManagement

SystemSystem


Objective

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

describe the safety management requirements included describe the safety management requirements included

in Annexes 6, 11 and 14, including the relationship in Annexes 6, 11 and 14, including the relationship

between a safety programme and an SMS.between a safety programme and an SMS.

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

describe the safety management requirements included describe the safety management requirements included

in Annexes 6, 11 and 14, including the relationship in Annexes 6, 11 and 14, including the relationship

between a safety programme and an SMS.between a safety programme and an SMS.


Outline

AGA ( Aerodromes, air routes and ground aids ), ATS and OPS/AMO safety management

What is a safety programme? What is an SMS?Acceptable level of safetyAcceptable level of safety – Implementation, scope and Acceptable level of safety – Implementation, scope and

legal considerationslegal considerationsProtection of sources of safety informationProtection of sources of safety informationQuestion and answersQuestion and answersPoints to remember

AGA ( Aerodromes, air routes and ground aids ), ATS and OPS/AMO safety management

What is a safety programme? What is an SMS?Acceptable level of safetyAcceptable level of safety – Implementation, scope and Acceptable level of safety – Implementation, scope and

legal considerationslegal considerationsProtection of sources of safety informationProtection of sources of safety informationQuestion and answersQuestion and answersPoints to remember


The big picture

ICAO safety management requirementsICAO safety management requirements

Operation of aircraftOperation of aircraft

Maintenance of aircraftMaintenance of aircraft

Air traffic services Air traffic services

AerodromesAerodromes

Two audience groupsTwo audience groups

Three “chunks”Three “chunks”

ICAO safety management requirementsICAO safety management requirements

Operation of aircraftOperation of aircraft

Maintenance of aircraftMaintenance of aircraft

Air traffic services Air traffic services

AerodromesAerodromes

Two audience groupsTwo audience groups

Three “chunks”Three “chunks”


As of 23 November 20061

States shall establish a States shall establish a safety programmesafety programme, in order to , in order to achieve an achieve an acceptable level of safetyacceptable level of safety in: in:The operation of aircraft The operation of aircraft The maintenance of aircraft The maintenance of aircraft The provision of air traffic services The provision of air traffic services Aerodrome operationsAerodrome operations

The acceptable level of safety to be achieved shall be The acceptable level of safety to be achieved shall be established by the State (s) concernedestablished by the State (s) concerned

States shall establish a States shall establish a safety programmesafety programme, in order to , in order to achieve an achieve an acceptable level of safetyacceptable level of safety in: in:The operation of aircraft The operation of aircraft The maintenance of aircraft The maintenance of aircraft The provision of air traffic services The provision of air traffic services Aerodrome operationsAerodrome operations

The acceptable level of safety to be achieved shall be The acceptable level of safety to be achieved shall be established by the State (s) concernedestablished by the State (s) concerned


What is a safety programme?

An integrated set of regulations and activities aimed at An integrated set of regulations and activities aimed at improving safety.improving safety.

States are responsible for establishing a safety States are responsible for establishing a safety programme:programme:Safety regulationSafety regulationSafety oversightSafety oversightAccident/incident investigationAccident/incident investigationMandatory/voluntary reporting systemsMandatory/voluntary reporting systemsSafety data analysisSafety data analysisSafety promotionSafety promotion……

An integrated set of regulations and activities aimed at An integrated set of regulations and activities aimed at improving safety.improving safety.

States are responsible for establishing a safety States are responsible for establishing a safety programme:programme:Safety regulationSafety regulationSafety oversightSafety oversightAccident/incident investigationAccident/incident investigationMandatory/voluntary reporting systemsMandatory/voluntary reporting systemsSafety data analysisSafety data analysisSafety promotionSafety promotion……


Definitions

Acceptable level of safety – A conceptAcceptable level of safety – A concept

High level safety management goals of an oversight High level safety management goals of an oversight authority [or a service provider]authority [or a service provider]

Minimum safety performance that service providers Minimum safety performance that service providers should achieve while conducting their core business should achieve while conducting their core business functionsfunctions

A reference against which measuring safety A reference against which measuring safety performanceperformance

Acceptable level of safety – A conceptAcceptable level of safety – A concept

High level safety management goals of an oversight High level safety management goals of an oversight authority [or a service provider]authority [or a service provider]

Minimum safety performance that service providers Minimum safety performance that service providers should achieve while conducting their core business should achieve while conducting their core business functionsfunctions

A reference against which measuring safety A reference against which measuring safety performanceperformance



States shall require, as part of their safety programme, that States shall require, as part of their safety programme, that an an [operator, maintenance organization, ATS, certified [operator, maintenance organization, ATS, certified

aerodrome operator]aerodrome operator] implements a implements a safety management system accepted by the State that, as accepted by the State that, as a minimum:a minimum: Identifies safety hazardsIdentifies safety hazards Ensures that remedial action necessary to maintain an Ensures that remedial action necessary to maintain an

acceptable level of safety is implemented acceptable level of safety is implemented Provides for continuous monitoring and regular Provides for continuous monitoring and regular

assessment of the safety level achievedassessment of the safety level achieved Aims to make continuous improvement to the overall Aims to make continuous improvement to the overall

level of safetylevel of safety

States shall require, as part of their safety programme, that States shall require, as part of their safety programme, that an an [operator, maintenance organization, ATS, certified [operator, maintenance organization, ATS, certified

aerodrome operator]aerodrome operator] implements a implements a safety management system accepted by the State that, as accepted by the State that, as a minimum:a minimum: Identifies safety hazardsIdentifies safety hazards Ensures that remedial action necessary to maintain an Ensures that remedial action necessary to maintain an

acceptable level of safety is implemented acceptable level of safety is implemented Provides for continuous monitoring and regular Provides for continuous monitoring and regular

assessment of the safety level achievedassessment of the safety level achieved Aims to make continuous improvement to the overall Aims to make continuous improvement to the overall

level of safetylevel of safety


What is an SMS?

An systematic approach to An systematic approach to managing safety, including managing safety, including i.necessary organizational i.necessary organizational structures, structures, ii.accountabilities,ii.accountabilities,iii. policies and procedures.iii. policies and procedures.

Providers are responsible for Providers are responsible for establishing an SMS.establishing an SMS.

States are responsible of the States are responsible of the acceptance and oversight of acceptance and oversight of providers’ SMS.providers’ SMS.

An systematic approach to An systematic approach to managing safety, including managing safety, including i.necessary organizational i.necessary organizational structures, structures, ii.accountabilities,ii.accountabilities,iii. policies and procedures.iii. policies and procedures.

Providers are responsible for Providers are responsible for establishing an SMS.establishing an SMS.

States are responsible of the States are responsible of the acceptance and oversight of acceptance and oversight of providers’ SMS.providers’ SMS.


Safety programme – SMS relationships

Statesafety

programme

Organization’ssafety

management system (SMS)

Organization’sproductionprocesses

Objective:Publicsafety

Objective:Manage and controlsafety risk

AcceptanceOversight

Objective:Achieve commercialgoals andcustomer satisfactionRisk management

Safety assurance

Protection Production

Oversight



An accepted safety management system shall clearly An accepted safety management system shall clearly define define lines of safety accountabilitylines of safety accountability throughout the throughout the [airline, maintenance, ATS provider, aerodrome [airline, maintenance, ATS provider, aerodrome operator] operator] organization, including organization, including direct accountability direct accountability for safety on the part of senior management.for safety on the part of senior management.

Note. – Guidance on safety management systems is Note. – Guidance on safety management systems is contained in the ICAO Safety Management Manual contained in the ICAO Safety Management Manual (Doc 9859).(Doc 9859).

(Accountability – Obligation or willingness to account for (Accountability – Obligation or willingness to account for one’s actions) one’s actions)

An accepted safety management system shall clearly An accepted safety management system shall clearly define define lines of safety accountabilitylines of safety accountability throughout the throughout the [airline, maintenance, ATS provider, aerodrome [airline, maintenance, ATS provider, aerodrome operator] operator] organization, including organization, including direct accountability direct accountability for safety on the part of senior management.for safety on the part of senior management.

Note. – Guidance on safety management systems is Note. – Guidance on safety management systems is contained in the ICAO Safety Management Manual contained in the ICAO Safety Management Manual (Doc 9859).(Doc 9859).

(Accountability – Obligation or willingness to account for (Accountability – Obligation or willingness to account for one’s actions) one’s actions)


Acceptable level of safety

ImplementationImplementation The concept of acceptable level of safety is

expressed in practical terms by two measures or metrics:safety performancesafety performance indicatorsindicatorssafety performance targetssafety performance targets

It is delivered through various tools and means:safety requirementssafety requirements. ……

ImplementationImplementation The concept of acceptable level of safety is

expressed in practical terms by two measures or metrics:safety performancesafety performance indicatorsindicatorssafety performance targetssafety performance targets

It is delivered through various tools and means:safety requirementssafety requirements. ……



… … ImplementationImplementation The relationship between acceptable level of safety,

safety performance indicators, safety performance targets and safety requirements is as follows: a) acceptable level of safetyacceptable level of safety is the overarching

concept; b) safety performance indicatorssafety performance indicators and safety safety

performance targetsperformance targets are the measures or metrics to determine if the acceptable level of safety has been achieved; and

c) safety requirementssafety requirements are the tools or means to achieve the safety indicators and safety targets.

… … ImplementationImplementation The relationship between acceptable level of safety,

safety performance indicators, safety performance targets and safety requirements is as follows: a) acceptable level of safetyacceptable level of safety is the overarching

concept; b) safety performance indicatorssafety performance indicators and safety safety

performance targetsperformance targets are the measures or metrics to determine if the acceptable level of safety has been achieved; and

c) safety requirementssafety requirements are the tools or means to achieve the safety indicators and safety targets.



… … ImplementationImplementation

The safety indicatorssafety indicators of an acceptable level of safety should be uncomplicated and linked to major components of a State safety programme, or an operator/services provider SMS.

They are generally expressed in numerical terms. An example of a safety indicator is 0.2 fatal accidents

per 100 000 hours for airline operators.


The safety indicatorssafety indicators of an acceptable level of safety should be uncomplicated and linked to major components of a State safety programme, or an operator/services provider SMS.

They are generally expressed in numerical terms. An example of a safety indicator is 0.2 fatal accidents

per 100 000 hours for airline operators.



… … ImplementationImplementation The safety targetssafety targets of an acceptable level of safety should

be determined weighing what is desirable and what is realistic for individual operator/services providers.

Safety targets should be measurable, acceptable to stakeholders, and consistent with the State safety programme.

An example of a safety target is 40% reduction by the end of the next five-year period over the last five-year average of 0.2 fatal accidents per 100 000 hours for airline operators.

… … ImplementationImplementation The safety targetssafety targets of an acceptable level of safety should

be determined weighing what is desirable and what is realistic for individual operator/services providers.

Safety targets should be measurable, acceptable to stakeholders, and consistent with the State safety programme.

An example of a safety target is 40% reduction by the end of the next five-year period over the last five-year average of 0.2 fatal accidents per 100 000 hours for airline operators.



… … ImplementationImplementation Safety indicatorsindicators and safety targetstargets may bemay be differentdifferent

(for example, the safety indicator is 0.2 fatal accidents per 100 000 hours for airline operators, and the safety target is 40% reduction over the 0.2 fatal accident rate per 100 000 hours for airline operations), or may be the may be the samesame (for example, the safety indicator is 0.2 fatal accidents per 100 000 hours for airline operators, and the safety target is to maintain 0.2 fatal accidents per 100 000 hours for airline operators).

… … ImplementationImplementation Safety indicatorsindicators and safety targetstargets may bemay be differentdifferent

(for example, the safety indicator is 0.2 fatal accidents per 100 000 hours for airline operators, and the safety target is 40% reduction over the 0.2 fatal accident rate per 100 000 hours for airline operations), or may be the may be the samesame (for example, the safety indicator is 0.2 fatal accidents per 100 000 hours for airline operators, and the safety target is to maintain 0.2 fatal accidents per 100 000 hours for airline operators).




An acceptable level of safetyacceptable level of safety will always be expressed by a number of safety indicatorsnumber of safety indicators and

safety targetssafety targets, never by a single onenever by a single one.


An acceptable level of safetyacceptable level of safety will always be expressed by a number of safety indicatorsnumber of safety indicators and

safety targetssafety targets, never by a single onenever by a single one.



… … ImplementationImplementation The safety requirementssafety requirements to achieve the safety

targets and safety indicators of an acceptable level of safety should be expressed in terms of operational procedures, technology and systems, programmes, contingency arrangements and so forth, to which measures of reliability, availability and/or accuracy may be added. (for example: deployment of a radar system in the State’s three busiest airports within the next 12 months, with 98% availability of critical equipment)

… … ImplementationImplementation The safety requirementssafety requirements to achieve the safety

targets and safety indicators of an acceptable level of safety should be expressed in terms of operational procedures, technology and systems, programmes, contingency arrangements and so forth, to which measures of reliability, availability and/or accuracy may be added. (for example: deployment of a radar system in the State’s three busiest airports within the next 12 months, with 98% availability of critical equipment)



ScopeScope

There will seldom be a single or national acceptable

level of safety.

Most frequently, within each State, there will be

different acceptable levels of safety that will be

separately agreed between the oversight authority

and individual operators/services providers. ……

ScopeScope

There will seldom be a single or national acceptable

level of safety.

Most frequently, within each State, there will be

different acceptable levels of safety that will be

separately agreed between the oversight authority

and individual operators/services providers. ……



… … ScopeScopeEach agreed acceptable level of safety should be

commensurate to the complexity of individual operator/services provider specific operational contexts, and the level to which safety deficiencies can be accepted as function of: a) social tolerance; b) prioritization; and c) availability of operator/services provider

resources to address them.

… … ScopeScopeEach agreed acceptable level of safety should be

commensurate to the complexity of individual operator/services provider specific operational contexts, and the level to which safety deficiencies can be accepted as function of: a) social tolerance; b) prioritization; and c) availability of operator/services provider

resources to address them.



Legal considerations – States Legal considerations – States

Establishing acceptable level (s) of safety does not replace legal, regulatory, or other already established requirements, but it must support compliance with them.

Establishing acceptable level (s) of safety for their safety programme leaves unaffected the obligations of States, and does not relieve States from compliance with SARPs. ……

Legal considerations – States Legal considerations – States

Establishing acceptable level (s) of safety does not replace legal, regulatory, or other already established requirements, but it must support compliance with them.

Establishing acceptable level (s) of safety for their safety programme leaves unaffected the obligations of States, and does not relieve States from compliance with SARPs. ……



… … Legal considerations – Operators and service Legal considerations – Operators and service providersprovidersEstablishing acceptable level (s) of safety for their

safety management system leaves unaffected the obligations of operators or services providers and other related parties, and it does not relieve the operator, services providers and other related parties from compliance with SARPs and/or national regulations, as applicable.

… … Legal considerations – Operators and service Legal considerations – Operators and service providersprovidersEstablishing acceptable level (s) of safety for their

safety management system leaves unaffected the obligations of operators or services providers and other related parties, and it does not relieve the operator, services providers and other related parties from compliance with SARPs and/or national regulations, as applicable.


Protecting sources of safety information

Assembly Resolution A35/17Legal guidance developed in Annex 13, Attachment ESafety information must not be used for purposes

different from the purposes for which it was collected.Introduction and definitionsGeneral principlesPrinciples of protectionPrinciples of exceptionsResponsibilities of the custodian of safety

informationProtection of recorded information

Assembly Resolution A35/17Legal guidance developed in Annex 13, Attachment ESafety information must not be used for purposes

different from the purposes for which it was collected.Introduction and definitionsGeneral principlesPrinciples of protectionPrinciples of exceptionsResponsibilities of the custodian of safety

informationProtection of recorded information


Why ICAO safety management provisions?

A move from prescription to performance

Prescriptive regulations – Prescribe what the safety requirements are and how they are to be met.

Performance based regulations – Specify the safety requirements to be met, but provide flexibility in terms of how safety requirements are met.

A move from prescription to performance

Prescriptive regulations – Prescribe what the safety requirements are and how they are to be met.

Performance based regulations – Specify the safety requirements to be met, but provide flexibility in terms of how safety requirements are met.


Q&A

Q:Q: What is a safety programme, and what are its main What is a safety programme, and what are its main components?components?

A:A: ? ?

Q:Q: What is a safety programme, and what are its main What is a safety programme, and what are its main components?components?

A:A: ? ?

Slide number: 7


Q&A

Q: Q: What is a safety management system? What is a safety management system?

A: ?A: ?

Q: Q: What is a safety management system? What is a safety management system?

A: ?A: ?

Slide number: 10


Points to remember

1.1. Standardised SMS provisions – Prescription vs. Standardised SMS provisions – Prescription vs. performance.performance.

2.2. Safety programme.Safety programme.3.3. SMS.SMS.4.4. Acceptable of level of safety.Acceptable of level of safety.

a)a) Safety performance indicators.Safety performance indicators.b)b) Safety performance targets.Safety performance targets.c)c) Safety requirements.Safety requirements.

5.5. The need to protect the source of informationThe need to protect the source of information

References: Annexes 6, 11, 13 and14, and Doc 9859, References: Annexes 6, 11, 13 and14, and Doc 9859, Chapter 3Chapter 3

1.1. Standardised SMS provisions – Prescription vs. Standardised SMS provisions – Prescription vs. performance.performance.

2.2. Safety programme.Safety programme.3.3. SMS.SMS.4.4. Acceptable of level of safety.Acceptable of level of safety.

a)a) Safety performance indicators.Safety performance indicators.b)b) Safety performance targets.Safety performance targets.c)c) Safety requirements.Safety requirements.

5.5. The need to protect the source of informationThe need to protect the source of information

References: Annexes 6, 11, 13 and14, and Doc 9859, References: Annexes 6, 11, 13 and14, and Doc 9859, Chapter 3Chapter 3

Module NModule N° 6 – SMS° 6 – SMSregulationregulation

Safety Management Systems (SMS) CourseSafety Management Systems (SMS) Course

Documents

Module N° 6 – SMS regulation Safety Management Systems (SMS) Course