Module N° 6 – SMS regulation

Safety Management System Course structure Module 1 SMS course introduction Module 2 Basic safety concepts Module 3 Introduction to safety management Module 4 Hazards Module 5 Risks Module 6 SMS regulation Module 7 Introduction to SMS Module 8 SMS planning Module 9 SMS operation Module 10 Phased approach to SSP and SMS Implementation Safety Module 10 Phased approach to SSP and SMS Implementation Management System Module 8 SMS planning Module 9 SMS operation Module 6 SMS regulation Module 7 Introduction to SMS

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

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

The big picture Two audience groups States Service providers Three distinct requirements State safety programme (SSP) Acceptable level of safety (ALoS) Safety management System (SMS) Safety performance of the SMS Management accountability

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)

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 regulation Accident/incident investigation Safety assurance Mandatory/voluntary reporting systems Safety data analysis and exchange Safety promotion Further discussed in Module 10

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 8

Safety indicators and safety targets Fatal airline accidents/serious incidents Runway excursion events/ground collision events Development/absence of primary aviation legislation Development/absence of operating regulations Level of regulatory compliance … Safety targets Reduction in fatal airline accident/serious incidents Reduction in runway excursion events/ground collision events Number of inspections completed quarterly

Values of safety indicators and safety targets – Examples Value of safety indicators [Rate/number] Fatal airline accidents per [number] operations [Rate/number] Runway excursion events per [number] operations [Rate/number] Ground collision events per [number] operations [Number] inspections to operators completed [timeframe] ... Value of safety targets [Reduction by/maximum] fatal airline accidents per [number] operations [Reduction by/maximum] runway excursion events per [number] operations [Reduction by /maximum] ground collision events per [number] operations [Minimum number] of inspections completed [timeframe]…

Delivering ALoS – Safety action plans Tools and means to deliver the safety targets of an SSP: Operational procedures Technology Systems Training programmes

ALoS – Example Values of safety targets Action plans Reduce by/maximum] CFIT and approach and landing accidents per [number] departures [Minimum number] inspections to operators completed quarterly ... Action plans CFIT training package distributed to industry and supported by training courses Revision and if necessary update of hiring policy. Inspection manual updated ... Values of safety indicators Number] CFIT and approach and landing accidents per [number] departures [Number] inspection to operators completed quarterly ... State Will comply all applicable international standards.

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

A fundamental differentiation Safety measurement Quantification of the outcomes of high-level or high- consequence events Accident rates Serious incident rates Quantification of high-level State functions Development/absence of primary aviation legislation Development/absence of operating regulations Level of regulatory compliance 14

A fundamental differentiation Safety performance measurement Quantification of the outcomes of low-level, low consequences processes Number of FOD events per number of ramp OPS Number 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) 15

A fundamental differentiation Safety measurement Not a continuous process. A spot check. Conducted following pre-specified timeframes. Safety performance measurement Continuous process. Monitoring and measurement of selected operational activities necessary for the provision of services.

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: identifies safety hazards; ensures that remedial action necessary to maintain safety performance is implemented; provides for continuous monitoring and regular assessment of the safety performance; and aims at a continuous improvement of the overall performance of the SMS.

Service providers Approved training organizations that are exposed to safety risks during the provision of their services Aircraft operators Approved maintenance organizations Organizations responsible for design and/or manufacture of aircraft Air traffic services providers Certified aerodromes The ICAO SMS framework (Module 8)

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

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 SMS Within 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

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 21

Safety performance of an SMS Safety performance indicators Short-term, tactical, measurable objectives reflecting the safety performance of an SMS They include safety performance measurement exclusively Expressed in numerical terms Safety performance targets Long-term, strategic, measurable objectives reflecting the safety performance of an SMS They include safety performance measurement exclusively. 22

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

Safety performance of an SMS Safety performance targets Maintain no more than 20 events of unauthorized vehicles on the taxiways per 10,000 operations. By January 2010 reduce to 8 FOD events on the apron per 10,000 operations. … Action Plans Training course for drivers / installation of specific signage. Thrice-daily walk-in ramp inspection programme. … Safety performance indicators 20 events of unauthorized vehicles on the taxiways per 10,000 operations. 15 FOD events on the apron per 10,000 operations. ... Service provider Will comply all applicable national and international standards. 24

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)

SSP – SMS relationship Protection Production State Safety Programme (SSP) Objective: Safety risk management Performance-based oversight Acceptance Compliance oversight Services provider Organization’s Safety Management system (SMS) Service delivery Objective: Support production goals and customer satisfaction Objective: Safety risk management Safety assurance

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.

The objective (Remember Module 1?) Realistic implementation Safety management Performance based ICAO SARPS Prescriptive

In summary Prescription Performance 2.1 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 performance The State has agreed with individual service providers on the safety performance of their SMS. 3.2 Safety data collection, analysis and exchange The 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 need The 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.

Performance Prescription In summary Safety performance targets Maintain no more than 20 events of unauthorized vehicles on the taxiways per 10,000 operations. By January 2009 reduce to 8 FOD events on the apron per 10,000 operations. … Action plans Performance Training course for drivers / installation of specific signage. Thrice-daily walk-in ramp inspection programme. … Safety performance indicators 20 events of unauthorized vehicles on the taxiways per 10,000 operations. 15 FOD events on the apron per 10,000 operations. ... Service provider Will comply all applicable national and international standards. Prescription 30

SMS regulation Questions and answers

Questions and answers Q: What are the main responsibilities in a State safety programme (SSP)? A: Safety regulation Accident/incident investigation Safety assurance Mandatory/voluntary reporting systems Safety data analysis and exchange Safety promotion Slide number: 7

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

Points to remember SSP SMS Acceptable of level of safety (ALoS) Safety performance of the SMS Management accountability Prescription vs. Performance

Module N° 6 – SMS regulation