1. ICAO Harmonized Safety Management Requirements – The Safety Concern ICAO Harmonized Safety Management Requirements – The Safety Concern Captain Daniel Maurino Captain Daniel Maurino Flight Safety and Human Factors, ICAO Flight Safety and Human Factors, ICAO ASPA/ICAO CAR/SAM Regional Seminar on Safety Management Systems (SMS) Mexico City, 14 to 16 March 2005

2. The Big Picture Annex 6 – Operation of Aircraft Annex 6 – Operation of Aircraft Part I Part I Part 3 Part 3 Annex 11 – Air Traffic Services Annex 11 – Air Traffic Services Annex 14 – Aerodromes Annex 14 – Aerodromes Three distinct blocks within each Annex Three distinct blocks within each Annex ICAO harmonized safety management requirements

3. As of 23 November 2006 States shall establish a safety programme, in order to achieve an acceptable level of safety in: States shall establish a safety programme, in order to achieve an acceptable level of safety in: The operation of aircraft – Annex 6, Parts I and III The operation of aircraft – Annex 6, Parts I and III The maintenance of aircraft – Annex 6, Part I The maintenance of aircraft – Annex 6, Part I The provision of air traffic services – Annex 11 The provision of air traffic services – Annex 11 Aerodrome operations – Annex 14 Aerodrome operations – Annex 14 The acceptable level of safety to be achieved shall be established by the State (s) concerned The acceptable level of safety to be achieved shall be established by the State (s) concerned

4. Two Definitions Safety programme – An integrated set of regulations and activities aimed at improving safety Acceptable level of safety– Articulatesthe high level safety management goals of an oversight authority or a service provider Acceptable level of safety – Articulatesthe high level safety management goals of an oversight authority or a service provider Minimum safety objectives acceptable of authority that service providers should achieve while conducting their core business functions Minimum safety objectives acceptable of authority that service providers should achieve while conducting their core business functions A reference against which the oversight authority can measure safety performance A reference against which the oversight authority can measure safety performance

5. As of 23 November 2006 States shall require, as part of their safety programme, that an [operator, maintenance organization, ATS provider, aerodrome operator] implements a safety management system accepted by the State that, as a minimum Identifies safety hazards Identifies safety hazards Ensures that remedial action necessary to maintain an acceptable level of safety is implemented Ensures that remedial action necessary to maintain an acceptable level of safety is implemented Provides for continuous monitoring and regular assessment of the safety level achieved Provides for continuous monitoring and regular assessment of the safety level achieved

6. Another Definition Safety management system – A systemic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures

7. As of 23 November 2006 An accepted safety management system shall clearly define lines of safety accountability throughout the [operator, maintenance organization, ATS provider, aerodrome operator] organization, including direct accountability for safety on the part of senior management Guidance on safety management systems is contained in the ICAO Safety Management Manual (Doc 9859) Guidance on safety management systems is contained in the ICAO Safety Management Manual (Doc 9859)

8. Acceptable Level of Safety From prescription to performance Does not relieve States/providers from obligations regarding the Convention or national regulations Does not relieve States/providers from obligations regarding the Convention or national regulations Negotiated between authority and service provider Negotiated between authority and service provider Commensurate with complexity of context and available resources Commensurate with complexity of context and available resources Implemented through Implemented through Safety indicators Safety indicators Safety targets Safety targets Safety requirements Safety requirements specific to a safety programme or SMS specific to a safety programme or SMS

9. Strategic Objectives of ICAO for 2005-2010 Harmonization of safety management provisions Harmonization of safety management provisions Annexes 6, 11 and 14: completed Annexes 6, 11 and 14: completed All other Annexes: in progress (Annexes 8, 13 & 18?) – ETA 2007 All other Annexes: in progress (Annexes 8, 13 & 18?) – ETA 2007 PANS: PANS/ATM about to take off – ETA TBC PANS: PANS/ATM about to take off – ETA TBC ICAO SMM (Doc 9859): completed ICAO SMM (Doc 9859): completed Series of ICAO SMS training courses: almost there Series of ICAO SMS training courses: almost there SMS model regulation: in progress – ETA 2007 SMS model regulation: in progress – ETA 2007 SMS for small organizations: in progress – ETA 2007 SMS for small organizations: in progress – ETA 2007 Strategic Objective A: Safety – Enhance global aviation safety

10. What is the safety concern(s) in aviation for which the ICAO Harmonized safety management requirements requirements might provide an answer? The Safety Concern – Prologue

12. Systemdesign Baseline (ideal) performance Baselineperformance Operationalperformance Practical PracticalDrift Operationaldeployment An Imperfect System

13. Aviation: The First Ultra-Safe Industrial System Ultra-safe system (mid 1990s onwards) Business management approach to safety (SMS) Business management approach to safety (SMS) Routine collection and analysis of operational data Routine collection and analysis of operational data 10 -3 10 -5 10 -7 Fragile system (1920s -1970s) Individual risk management & intensive training Individual risk management & intensive training Accident investigation Accident investigation Safe system (1970s – mid 1990s) Technology & regulations Technology & regulations Incident investigation Incident investigation

14. Safety Data to Inform Risk Management Decisions