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

2. The Big Picture ICAO harmonized safety management requirements
Annex 6 – Operation of Aircraft
Part I
Part 3
Annex 11 – Air Traffic Services
Annex 14 – Aerodromes
Three distinct blocks within each Annex 7

3. As of 23 November 2006
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 maintenance of aircraft – Annex 6, Part I
The provision of air traffic services – Annex 11
Aerodrome operations – Annex 14
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 – Articulates the 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
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
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

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)

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

9. Strategic Objectives of ICAO for 2005-2010
Strategic Objective A: Safety – Enhance global aviation safety
Harmonization of safety management provisions
Annexes 6, 11 and 14: completed
All other Annexes: in progress (Annexes 8, 13 & 18?) – ETA 2007
PANS: PANS/ATM about to take off – ETA TBC
ICAO SMM (Doc 9859): completed
Series of ICAO SMS training courses: almost there
SMS model regulation: in progress – ETA 2007
SMS for small organizations: in progress – ETA 2007 7

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

12. An Imperfect System Baseline performance Baseline (ideal) performance
“Practical
Drift”
Baseline (ideal) performance
Operational
deployment
System
design
Operational
performance

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

14. Safety Data to Inform Risk Management Decisions