Post on 27-Mar-2015
Revision N° 13 ICAO Safety Management Systems (SMS) Course 06/05/09
Module N° 6 – SMSregulation
Module N° 6 ICAO Safety Management Systems (SMS) Course 2
Course structure
Module 1SMS course introduction
Module 2Basic safety
concepts
Module 3 Introduction
to safety management
Module 4Hazards
Module 5Risks
Module 6SMS regulation
Module 7Introduction to SMS
Module 8SMS planning
Module 9SMS operation
Module 10Phased approach to
SSP and SMS Implementation
SafetyManagementSystem
Module 6SMS regulation
Module 7Introduction to SMS
Module 8SMS planning
Module 9SMS operation
Module 10Phased approach to
SSP and SMS Implementation
Module N° 6 ICAO Safety Management Systems (SMS) Course 3
Objective
At the end of this module participants will be able to
describe the safety management requirements included in
Annexes 1, 6, 8, 11, 13 and 14, including the relationship
between a State safety programme (SSP) and an SMS
Module N° 6 ICAO Safety Management Systems (SMS) Course 4
Outline
SSP and SMS requirements What is an SSP? What is an SMS? Acceptable level of safety (ALoS) – Implementation, scope
and legal considerations Safety performance of the service provider’s SMS Performance-based regulatory environment Questions and answers Points to remember
Module N° 6 ICAO Safety Management Systems (SMS) Course 5
The big picture
Two audience groupsStatesService providers
Three distinct requirementsState safety programme (SSP)
Acceptable level of safety (ALoS) Safety management System (SMS)
Safety performance of the SMSManagement accountability
Module N° 6 ICAO Safety Management Systems (SMS) Course 6
Basic safety management SARPs – Part I
States shall establish a State safety programme (SSP), in
order to achieve an acceptable level of safety in civil
aviation.
The ICAO SSP framework (Module 10)
Module N° 6 ICAO Safety Management Systems (SMS) Course 7
What is an SSP?An integrated set of regulations and activities aimed at
improving safety.States are responsible for establishing an SSP,
encompassing the following responsibilities:Safety regulationAccident/incident investigationSafety assurance
Mandatory/voluntary reporting systems
Safety data analysis and exchange
Safety promotionFurther discussed in Module 10
Module N° 6 ICAO Safety Management Systems (SMS) Course 8
Basic safety management SARPs
The acceptable level of safety (ALoS) to be achieved shall
be established by the State
When establishing ALoS, consideration must be given to
The level of safety risk that applies
The safety risk tolerance
The cost/benefits of improvements to the aviation system
The public expectations in civil aviation system
Module N° 6 ICAO Safety Management Systems (SMS) Course 9
Safety indicators and safety targets
Safety indicators Fatal airline accidents/serious incidentsRunway excursion events/ground collision eventsDevelopment/absence of primary aviation legislationDevelopment/absence of operating regulationsLevel of regulatory compliance…
Safety targetsReduction in fatal airline accident/serious incidentsReduction in runway excursion events/ground collision
eventsNumber of inspections completed quarterly…
Module N° 6 ICAO Safety Management Systems (SMS) Course 10
Values of safety indicators and safety targets – Examples
Value of safety indicators
1. [Rate/number] Fatal airline accidents per [number] operations
2. [Rate/number] Runway excursion events per [number] operations
3. [Rate/number] Ground collision events per [number]
operations4. [Number] inspections to
operators completed [timeframe] ...
Value of safety targets
1. [Reduction by/maximum] fatal airline accidents per
[number] operations2. [Reduction by/maximum]
runway excursion events per [number] operations
3. [Reduction by /maximum] ground collision events per [number] operations
4. [Minimum number] of inspections completed [timeframe]…
Module N° 6 ICAO Safety Management Systems (SMS) Course 11
Delivering ALoS – Safety action plans
Tools and means to deliver the safety targets of an SSP:
Operational procedures
Technology
Systems
Training programmes
Module N° 6 ICAO Safety Management Systems (SMS) Course 12
ALoS – Example
Values of safety targets
1. Reduce by/maximum] CFIT and approach and landing accidents per [number] departures
2. [Minimum number] inspections to operators completed quarterly 3. ...
Actionplans
1. CFIT training package distributed to industry and supported by training courses
2. Revision and if necessary update of hiring policy. Inspection manual updated
3. ...
Values of safety indicators
1. Number] CFIT and approach and landing accidents per [number] departures
2. [Number] inspection to operators completed quarterly3. ...
State Will comply all applicable international standards.
Module N° 6 ICAO Safety Management Systems (SMS) Course 13
ALoS of an SSP
Legal considerations
Establishing ALoS for the SSP does not replace legal, regulatory, or other already established requirements, but it must support compliance with them
Establishing ALoS for the SSP leaves unaffected the obligations of States, and does not relieve States from compliance with SARPs
Module N° 6 ICAO Safety Management Systems (SMS) Course 14
A fundamental differentiation
Safety measurementQuantification of the outcomes of high-level or high-
consequence events Accident rates Serious incident rates
Quantification of high-level State functionsDevelopment/absence of primary aviation legislationDevelopment/absence of operating regulationsLevel of regulatory compliance
Module N° 6 ICAO Safety Management Systems (SMS) Course 15
A fundamental differentiation
Safety performance measurement Quantification of the outcomes of low-level, low
consequences processesNumber of FOD events per number of ramp OPSNumber of ground vehicle events in taxiways per
number of airport OPS Provide a measure of the actual performance of an
individual SSP or SMS (Beyond accident rates and regulatory compliance)
Module N° 6 ICAO Safety Management Systems (SMS) Course 16
A fundamental differentiation
Safety measurementNot a continuous process.A spot check.Conducted following pre-specified timeframes.
Safety performance measurementContinuous process.Monitoring and measurement of selected operational
activities necessary for the provision of services.
Module N° 6 ICAO Safety Management Systems (SMS) Course 17
Basic safety management SARPs – Part II
States shall require, as part of their State safety programme (SSP), that a [service provider] implements a safety management system (SMS) acceptable to the State that, as a minimum:
a) identifies safety hazards;
b) ensures that remedial action necessary to maintain safety performance is implemented;
c) provides for continuous monitoring and regular assessment of the safety performance; and
d) aims at a continuous improvement of the overall performance of the SMS.
Module N° 6 ICAO Safety Management Systems (SMS) Course 18
Service providers
Approved training organizations that are exposed to safety risks during the provision of their services
Aircraft operatorsApproved maintenance organizationsOrganizations responsible for design and/or manufacture of
aircraftAir traffic services providersCertified aerodromes
The ICAO SMS framework (Module 8)
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What is an SMS?
A systematic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures
Service providers are responsible for establishing an SMS
States are responsible, under the SSP, for the acceptance and oversight of organizations’ SMS
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Safety performance of services provider’s SMS
Expresses the safety objectives of a service provider.Provides measurable reference for measuring the safety
performance of an SMSWithin each State, the safety performance of each SMS
will separately be agreed between the State oversight authority and individual aviation organizations
Agreed safety performance should be commensurate to the: complexity of individual service provider specific
operational context; and availability of service provider resources to address
them
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Safety performance of an SMS
The safety performance of an SMS represents safety performance measurement exclusively
The safety performance of an SMS is expressed in practical terms by two measures or metrics:
Safety performance indicators
Safety performance targets
It is delivered through various tools and means:
Safety requirements
Module N° 6 ICAO Safety Management Systems (SMS) Course 22
Safety performance of an SMS
Safety performance indicatorsShort-term, tactical, measurable objectives reflecting the
safety performance of an SMSThey include safety performance measurement exclusivelyExpressed in numerical terms
Safety performance targetsLong-term, strategic, measurable objectives reflecting the
safety performance of an SMSThey include safety performance measurement exclusively.Expressed in numerical terms
Module N° 6 ICAO Safety Management Systems (SMS) Course 23
Safety performance of an SMS
Legal considerations
Establishing safety performance for the SMS leaves
unaffected the obligations of services providers and
other related parties, and it does not relieve the services
providers and other related parties from compliance with
SARPs and/or national regulations, as applicable
Module N° 6 ICAO Safety Management Systems (SMS) Course 24
Safety performance of an SMS
Action Plans
1. Training course for drivers / installation of specific signage.
2. Thrice-daily walk-in ramp inspection programme.
3. …
Safety performance targets
1. Maintain no more than 20 events of unauthorized vehicles on the taxiways per 10,000 operations.
2. By January 2010 reduce to 8 FOD events on the apron per 10,000 operations.
3. …
Safety performance indicators
1. 20 events of unauthorized vehicles on the taxiways per 10,000 operations.
2. 15 FOD events on the apron per 10,000 operations.
3. ...
Service provider Will comply all applicable national and international standards.
Module N° 6 ICAO Safety Management Systems (SMS) Course 25
Basic safety management SARPs – Part III
A safety management system (SMS) shall clearly define
lines of safety accountability throughout a service provider
organization, including a direct accountability for safety
on the part of senior management
(Accountability – Obligation or willingness to account for
one’s actions)
Module N° 6 ICAO Safety Management Systems (SMS) Course 26
SSP – SMS relationshipProtection Production
StateSafety
Programme (SSP)
Organization’sSafety
Management system (SMS)
Service delivery
Objective:Safety riskmanagement
Objective:Safety riskmanagement
Objective:Support productiongoals andcustomer satisfaction
Safety assurance
AcceptanceCompliance
oversight
Performance-based oversight
Module N° 6 ICAO Safety Management Systems (SMS) Course 27
In summary
State Service provider
States shall establish a State safety programme (SSP), in order to achieve an acceptable level of safety (ALoS) in civil aviation.
The acceptable level of safety (ALoS) to be achieved shall be established by the State.
Identify safety hazards.Ensure remedial action to
maintain safety performance.
Provides continuing monitoring and regular assessment of the safety performance.
Aims at a continuous improvement of the overall performance of the SMS.
Module N° 6 ICAO Safety Management Systems (SMS) Course 28
The objective (Remember Module 1?)
Safetymanagement
ICAOSARPS
Performancebased
PrescriptivePrescriptive
Realisticimplementation
Module N° 6 ICAO Safety Management Systems (SMS) Course 29
In summary
Prescription Performance2.1 Safety requirements for service providers
SMS
The State has established the controls which govern how service providers will identify hazards and manage safety risks.
3.1 Safety oversight
The State has established mechanisms to ensure an effective monitoring of the eight critical elements of the safety oversight function.
2.2 Agreement on service providers’ safety performanceThe State has agreed with individual service providers on the safety performance of their SMS.
3.2 Safety data collection, analysis and exchangeThe State has established mechanisms to ensure the capture and storage of data on hazards and safety risks at both an individual and aggregate State’s level.
3.3 Safety data driven targeting of oversight on areas of greater concern or needThe State has established procedures to prioritize inspections, audits and surveys towards those areas of greater safety concern or need, as identified by the analysis of data on hazards, their consequences in operations, and the assessed safety risks.
Module N° 6 ICAO Safety Management Systems (SMS) Course 30
In summary
Action plans
1. Training course for drivers / installation of specific signage.
2. Thrice-daily walk-in ramp inspection programme.
3. …
Safety performance targets
1. Maintain no more than 20 events of unauthorized vehicles on the taxiways per 10,000 operations.
2. By January 2009 reduce to 8 FOD events on the apron per 10,000 operations.
3. …
Safety performance indicators
1. 20 events of unauthorized vehicles on the taxiways per 10,000 operations.
2. 15 FOD events on the apron per 10,000 operations.
3. ...
Service provider Will comply all applicable national and international standards.
Module N° 6 ICAO Safety Management Systems (SMS) Course 31
Questions and answersSMS regulation
Module N° 6 ICAO Safety Management Systems (SMS) Course 32
Questions and answers
Q: What are the main responsibilities in a State safety programme (SSP)?
A: Safety regulationAccident/incident investigationSafety assurance
Mandatory/voluntary reporting systemsSafety data analysis and exchange
Safety promotion
Slide number: 7
Module N° 6 ICAO Safety Management Systems (SMS) Course 33
Questions and answers
Q: What is a safety management system (SMS)?
A:
A systematic approach to managing safety, including the
necessary organizational structures, accountabilities,
policies and procedures.
Slide number: 19
Module N° 6 ICAO Safety Management Systems (SMS) Course 34
Points to remember
1. SSP2. SMS3. Acceptable of level of safety (ALoS)4. Safety performance of the SMS5. Management accountability6. Prescription vs. Performance
Revision N° 13 ICAO Safety Management Systems (SMS) Course 06/05/09
Module N° 6 – SMSregulation