Session No. 3Session No. 3ICAO Safety Management StandardsICAO Safety Management Standards

The Big PictureThe Big PictureTwo audience groupsTwo audience groups

StatesStatesService providersService providers

Three distinct requirementsThree distinct requirementsSafety programmeSafety programmeSMSSMS Management accountabilityManagement accountability

Two audience groupsTwo audience groupsStatesStatesService providersService providers

Three distinct requirementsThree distinct requirementsSafety programmeSafety programmeSMSSMS Management accountabilityManagement accountability

As of 23 November 2006As of 23 November 2006

States shall establish a States shall establish a safety programmesafety programme, in order , in order to achieve an acceptable level of safety in:to achieve an acceptable level of safety 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

States shall establish a States shall establish a safety programmesafety programme, in order , in order to achieve an acceptable level of safety in:to achieve an acceptable level of safety 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

What is a Safety ProgrammeWhat is a Safety Programme??

An integrated set of regulations and activities aimed at An integrated set of regulations and activities aimed at improving safetyimproving safetySafety 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 safetyimproving safetySafety regulationSafety regulationSafety oversightSafety oversightAccident/incident investigationAccident/incident investigationMandatory/voluntary reporting systemsMandatory/voluntary reporting systemsSafety data analysisSafety data analysisSafety promotionSafety promotion

As of 23 November 2006As of 23 November 2006States shall require, as part of their safety programme, States shall require, as part of their safety programme,

that an that an [operator, maintenance organization, ATS [operator, maintenance organization, ATS provider, certified aerodrome operator]provider, certified aerodrome operator] implements a implements a safety management systemsafety management system accepted by the State that accepted by the State that Identifies safety hazardsIdentifies safety hazards Ensures that remedial action necessary to maintain Ensures that remedial action necessary to maintain

an acceptable level of safety is implemented an 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 Aims to make continuous improvement to the

overall level of safetyoverall level of safety

States shall require, as part of their safety programme, States shall require, as part of their safety programme, that an that an [operator, maintenance organization, ATS [operator, maintenance organization, ATS provider, certified aerodrome operator]provider, certified aerodrome operator] implements a implements a safety management systemsafety management system accepted by the State that accepted by the State that Identifies safety hazardsIdentifies safety hazards Ensures that remedial action necessary to maintain Ensures that remedial action necessary to maintain

an acceptable level of safety is implemented an 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 Aims to make continuous improvement to the

overall level of safetyoverall level of safety

What is an SMS?What is an SMS?A systematic approach to A systematic approach to

managing safety, including managing safety, including the necessary organizational the necessary organizational structures, accountabilities, structures, accountabilities, policies and procedurespolicies and procedures

Providers are responsible for Providers are responsible for establishing an SMSestablishing an SMS

States are responsible of the States are responsible of the acceptance and oversight for acceptance and oversight for providers’ SMSproviders’ SMS

A systematic approach to A systematic approach to managing safety, including managing safety, including the necessary organizational the necessary organizational structures, accountabilities, structures, accountabilities, policies and procedurespolicies and procedures

Providers are responsible for Providers are responsible for establishing an SMSestablishing an SMS

States are responsible of the States are responsible of the acceptance and oversight for acceptance and oversight for providers’ SMSproviders’ SMS

Safety Programme – SMS RelationshipsSafety 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

As of 23 November 2006As of 23 November 2006

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

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

Acceptable Level of SafetyAcceptable Level of SafetyThe acceptable level of safety to be achieved shall The acceptable level of safety to be achieved shall

be established by the State (s) concernedbe established by the State (s) concernedExpressed in practical terms by two measures or Expressed in practical terms by two measures or

metricsmetricsSafety performance indicatorsSafety performance indicatorsSafety performance targets Safety performance targets

Delivered through various tools and meansDelivered through various tools and meansSafety requirementsSafety requirements

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

Expressed in practical terms by two measures or Expressed in practical terms by two measures or metricsmetrics

Safety performance indicatorsSafety performance indicatorsSafety performance targets Safety performance targets

Delivered through various tools and meansDelivered through various tools and meansSafety requirementsSafety requirements

Acceptable Level of SafetyAcceptable Level of Safety

Legal considerationsEstablishing 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 considerationsEstablishing 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

Acceptable Level of SafetyAcceptable Level of SafetySafety indicatorsSafety indicators – Established objectives of a safety programme or an SMS

No more than 0.8 Cat A and B (most serious) runway incursions per million operations through 2009

Safety targets Safety targets – – Medium or long-term objectives of a safety programme or an SMS

By 2010 reduce Cat A and B (most serious) runway incursions to a rate of not more than 0.5 per million operations

May be different or the same

Safety indicatorsSafety indicators – Established objectives of a safety programme or an SMS

No more than 0.8 Cat A and B (most serious) runway incursions per million operations through 2009

Safety targets Safety targets – – Medium or long-term objectives of a safety programme or an SMS

By 2010 reduce Cat A and B (most serious) runway incursions to a rate of not more than 0.5 per million operations

May be different or the same

Acceptable Level of SafetyAcceptable Level of SafetySafety requirements – Operational procedures,

technology and systems, programmes, and contingency arrangementsMeasures of reliability, availability and/or accuracy

may be addedInstall Airport Surface Detection Equipment-Model XV (ASDE-XV) at (three busiest airports) within the next 12 months, with 98% annual availability

Safety requirements – Operational procedures, technology and systems, programmes, and

contingency arrangementsMeasures of reliability, availability and/or accuracy

may be addedInstall Airport Surface Detection Equipment-Model XV (ASDE-XV) at (three busiest airports) within the next 12 months, with 98% annual availability

Acceptable Level of SafetyAcceptable Level of SafetyThere will seldom be a single or national There will seldom be a single or national acceptable acceptable

level of safetylevel of safetyDifferent acceptable levels of safety will be Different acceptable levels of safety will be separately agreed between the oversight authority separately agreed between the oversight authority

and individual service providersand individual service providersEach agreed acceptable level of safety should be Each agreed acceptable level of safety should be

commensurate to the complexity of individual commensurate to the complexity of individual service provider specific operational contextservice provider specific operational context

availability of operator/services provider availability of operator/services provider resourcesresources

There will seldom be a single or national There will seldom be a single or national acceptable acceptable level of safetylevel of safety

Different acceptable levels of safety will be Different acceptable levels of safety will be separately agreed between the oversight authority separately agreed between the oversight authority

and individual service providersand individual service providersEach agreed acceptable level of safety should be Each agreed acceptable level of safety should be

commensurate to the complexity of individual commensurate to the complexity of individual service provider specific operational contextservice provider specific operational context

availability of operator/services provider availability of operator/services provider resourcesresources