1. Module N° 6 – SMS regulation Safety Management Systems (SMS) Course

2. Module N° 6 ICAO Safety Management Systems (SMS) Course 2 Building an SMS Module6 SMS regulation Module7 Introduction to SMS Module8 SMS planning Module9 SMS operation Module10 Phased approach to SMS implementation Module 1 SMS course introduction Module 2 Basic safety concepts Module 3 Introduction to safety management Module 4 Hazards Module 5 Risks Module6 SMS regulation Module7 Introduction to SMS Module8 SMS planning Module9 SMS operation Module10 Phased approach to SMS implementationSafetyManagementSystem

3. Module N° 6 ICAO Safety Management Systems (SMS) Course 3 Objective à At the end of this module participants will be able to describe the safety management requirements included in Annexes 6, 11 and 14, including the relationship between a safety programme and an SMS.

4. Module N° 6 ICAO Safety Management Systems (SMS) Course 4 Outline àAGA ( Aerodromes, air routes and ground aids ), ATS and OPS/AMO safety management àWhat is a safety programme? àWhat is an SMS? àAcceptable level of safety àAcceptable level of safety – Implementation, scope and legal considerations àProtection of sources of safety information àQuestion and answers àPoints to remember àAGA ( Aerodromes, air routes and ground aids ), ATS and OPS/AMO safety management àWhat is a safety programme? àWhat is an SMS? àAcceptable level of safety àAcceptable level of safety – Implementation, scope and legal considerations àProtection of sources of safety information àQuestion and answers àPoints to remember

5. Module N° 6 ICAO Safety Management Systems (SMS) Course 5 The big picture àICAO safety management requirements äOperation of aircraft äMaintenance of aircraft äAir traffic services äAerodromes æTwo audience groups æThree “chunks” àICAO safety management requirements äOperation of aircraft äMaintenance of aircraft äAir traffic services äAerodromes æTwo audience groups æThree “chunks”

6. Module N° 6 ICAO Safety Management Systems (SMS) Course 6 As of 23 November 20061 àStates shall establish a safety programme, in order to achieve an acceptable level of safety in: äThe operation of aircraft äThe maintenance of aircraft äThe provision of air traffic services äAerodrome operations àThe acceptable level of safety to be achieved shall be established by the State (s) concerned àStates shall establish a safety programme, in order to achieve an acceptable level of safety in: äThe operation of aircraft äThe maintenance of aircraft äThe provision of air traffic services äAerodrome operations àThe acceptable level of safety to be achieved shall be established by the State (s) concerned

7. Module N° 6 ICAO Safety Management Systems (SMS) Course 7 What is a safety programme? àAn integrated set of regulations and activities aimed at improving safety. àStates are responsible for establishing a safety programme: äSafety regulation äSafety oversight äAccident/incident investigation äMandatory/voluntary reporting systems äSafety data analysis äSafety promotion ä… àAn integrated set of regulations and activities aimed at improving safety. àStates are responsible for establishing a safety programme: äSafety regulation äSafety oversight äAccident/incident investigation äMandatory/voluntary reporting systems äSafety data analysis äSafety promotion ä…

8. Module N° 6 ICAO Safety Management Systems (SMS) Course 8 Definitions à Acceptable level of safety – A concept äHigh level safety management goals of an oversight authority [or a service provider] äMinimum safety performance that service providers should achieve while conducting their core business functions äA reference against which measuring safety performance à Acceptable level of safety – A concept äHigh level safety management goals of an oversight authority [or a service provider] äMinimum safety performance that service providers should achieve while conducting their core business functions äA reference against which measuring safety performance

9. Module N° 6 ICAO Safety Management Systems (SMS) Course 9 As of 23 November 2006 àStates shall require, as part of their safety programme, that an [operator, maintenance organization, ATS, certified aerodrome operator] implements a accepted by the State that, as a minimum: àStates shall require, as part of their safety programme, that an [operator, maintenance organization, ATS, certified aerodrome operator] implements a safety management system accepted by the State that, as a minimum: äIdentifies safety hazards äEnsures that remedial action necessary to maintain an acceptable level of safety is implemented äProvides for continuous monitoring and regular assessment of the safety level achieved äAims to make continuous improvement to the overall level of safety àStates shall require, as part of their safety programme, that an [operator, maintenance organization, ATS, certified aerodrome operator] implements a accepted by the State that, as a minimum: àStates shall require, as part of their safety programme, that an [operator, maintenance organization, ATS, certified aerodrome operator] implements a safety management system accepted by the State that, as a minimum: äIdentifies safety hazards äEnsures that remedial action necessary to maintain an acceptable level of safety is implemented äProvides for continuous monitoring and regular assessment of the safety level achieved äAims to make continuous improvement to the overall level of safety

10. Module N° 6 ICAO Safety Management Systems (SMS) Course 10 What is an SMS? àAn systematic approach to managing safety, including i.necessary organizational structures, ii.accountabilities, iii. policies and procedures. àProviders are responsible for establishing an SMS. àStates are responsible of the acceptance and oversight of providers’ SMS. àAn systematic approach to managing safety, including i.necessary organizational structures, ii.accountabilities, iii. policies and procedures. àProviders are responsible for establishing an SMS. àStates are responsible of the acceptance and oversight of providers’ SMS.

11. Module N° 6 ICAO Safety Management Systems (SMS) Course 11 Safety programme – SMS relationships State safety programme Organization’s safety management system (SMS) Organization’s production processes Objective: Public safety Objective: Manage and control safety risk Acceptance Oversight Objective: Achieve commercial goals and customer satisfaction Risk management Safety assurance Protection Production Oversight

12. Module N° 6 ICAO Safety Management Systems (SMS) Course 12 As of 23 November 2006 àAn accepted safety management system shall clearly define lines of safety accountability throughout the [airline, maintenance, ATS provider, aerodrome operator] organization, including direct accountability for safety on the part of senior management. Note. – Guidance on safety management systems is contained in the ICAO Safety Management Manual (Doc 9859). (Accountability – Obligation or willingness to account for one’s actions) àAn accepted safety management system shall clearly define lines of safety accountability throughout the [airline, maintenance, ATS provider, aerodrome operator] organization, including direct accountability for safety on the part of senior management. Note. – Guidance on safety management systems is contained in the ICAO Safety Management Manual (Doc 9859). (Accountability – Obligation or willingness to account for one’s actions)

13. Module N° 6 ICAO Safety Management Systems (SMS) Course 13 Acceptable level of safety à Implementation äThe concept of acceptable level of safety is expressed in practical terms by two measures or metrics: æ safety performance indicators æ safety performance targets äIt is delivered through various tools and means: æ safety requirements … æ safety requirements. … à Implementation äThe concept of acceptable level of safety is expressed in practical terms by two measures or metrics: æ safety performance indicators æ safety performance targets äIt is delivered through various tools and means: æ safety requirements … æ safety requirements. …

14. Module N° 6 ICAO Safety Management Systems (SMS) Course 14 Acceptable level of safety à … Implementation äThe relationship between acceptable level of safety, safety performance indicators, safety performance targets and safety requirements is as follows: acceptable level of safety æa) acceptable level of safety is the overarching concept; safety performance indicatorssafety performance targets æb) safety performance indicators and safety performance targets are the measures or metrics to determine if the acceptable level of safety has been achieved; and safety requirements æc) safety requirements are the tools or means to achieve the safety indicators and safety targets. à … Implementation äThe relationship between acceptable level of safety, safety performance indicators, safety performance targets and safety requirements is as follows: acceptable level of safety æa) acceptable level of safety is the overarching concept; safety performance indicatorssafety performance targets æb) safety performance indicators and safety performance targets are the measures or metrics to determine if the acceptable level of safety has been achieved; and safety requirements æc) safety requirements are the tools or means to achieve the safety indicators and safety targets.

15. Module N° 6 ICAO Safety Management Systems (SMS) Course 15 Acceptable level of safety à … Implementation safety indicators äThe safety indicators of an acceptable level of safety should be uncomplicated and linked to major components of a State safety programme, or an operator/services provider SMS. äThey are generally expressed in numerical terms. An example of a safety indicator is 0.2 fatal accidents per 100 000 hours for airline operators. à … Implementation safety indicators äThe safety indicators of an acceptable level of safety should be uncomplicated and linked to major components of a State safety programme, or an operator/services provider SMS. äThey are generally expressed in numerical terms. An example of a safety indicator is 0.2 fatal accidents per 100 000 hours for airline operators.

16. Module N° 6 ICAO Safety Management Systems (SMS) Course 16 Acceptable level of safety à … Implementation safety targets äThe safety targets of an acceptable level of safety should be determined weighing what is desirable and what is realistic for individual operator/services providers. äSafety targets should be measurable, acceptable to stakeholders, and consistent with the State safety programme. äAn example of a safety target is 40% reduction by the end of the next five-year period over the last five-year average of 0.2 fatal accidents per 100 000 hours for airline operators. à … Implementation safety targets äThe safety targets of an acceptable level of safety should be determined weighing what is desirable and what is realistic for individual operator/services providers. äSafety targets should be measurable, acceptable to stakeholders, and consistent with the State safety programme. äAn example of a safety target is 40% reduction by the end of the next five-year period over the last five-year average of 0.2 fatal accidents per 100 000 hours for airline operators.

17. Module N° 6 ICAO Safety Management Systems (SMS) Course 17 Acceptable level of safety à … Implementation indicatorstargetsmay bedifferent may be the same äSafety indicators and safety targets may be different (for example, the safety indicator is 0.2 fatal accidents per 100 000 hours for airline operators, and the safety target is 40% reduction over the 0.2 fatal accident rate per 100 000 hours for airline operations), or may be the same (for example, the safety indicator is 0.2 fatal accidents per 100 000 hours for airline operators, and the safety target is to maintain 0.2 fatal accidents per 100 000 hours for airline operators). à … Implementation indicatorstargetsmay bedifferent may be the same äSafety indicators and safety targets may be different (for example, the safety indicator is 0.2 fatal accidents per 100 000 hours for airline operators, and the safety target is 40% reduction over the 0.2 fatal accident rate per 100 000 hours for airline operations), or may be the same (for example, the safety indicator is 0.2 fatal accidents per 100 000 hours for airline operators, and the safety target is to maintain 0.2 fatal accidents per 100 000 hours for airline operators).

18. Module N° 6 ICAO Safety Management Systems (SMS) Course 18 Acceptable level of safety à … Implementation acceptable level of safety number of safety indicators safety targets never by a single one äAn acceptable level of safety will always be expressed by a number of safety indicators and safety targets, never by a single one. à … Implementation acceptable level of safety number of safety indicators safety targets never by a single one äAn acceptable level of safety will always be expressed by a number of safety indicators and safety targets, never by a single one.

19. Module N° 6 ICAO Safety Management Systems (SMS) Course 19 Acceptable level of safety à … Implementation safety requirements äThe safety requirements to achieve the safety targets and safety indicators of an acceptable level of safety should be expressed in terms of operational procedures, technology and systems, programmes, contingency arrangements and so forth, to which measures of reliability, availability and/or accuracy may be added. (for example: deployment of a radar system in the State’s three busiest airports within the next 12 months, with 98% availability of critical equipment) à … Implementation safety requirements äThe safety requirements to achieve the safety targets and safety indicators of an acceptable level of safety should be expressed in terms of operational procedures, technology and systems, programmes, contingency arrangements and so forth, to which measures of reliability, availability and/or accuracy may be added. (for example: deployment of a radar system in the State’s three busiest airports within the next 12 months, with 98% availability of critical equipment)

20. Module N° 6 ICAO Safety Management Systems (SMS) Course 20 Acceptable level of safety à Scope äThere will seldom be a single or national acceptable level of safety. … äMost frequently, within each State, there will be different acceptable levels of safety that will be separately agreed between the oversight authority and individual operators/services providers. … à Scope äThere will seldom be a single or national acceptable level of safety. … äMost frequently, within each State, there will be different acceptable levels of safety that will be separately agreed between the oversight authority and individual operators/services providers. …

21. Module N° 6 ICAO Safety Management Systems (SMS) Course 21 Acceptable level of safety à … Scope äEach agreed acceptable level of safety should be commensurate to the complexity of individual operator/services provider specific operational contexts, and the level to which safety deficiencies can be accepted as function of: æ a) social tolerance; æ b) prioritization; and æ c) availability of operator/services provider resources to address them. à … Scope äEach agreed acceptable level of safety should be commensurate to the complexity of individual operator/services provider specific operational contexts, and the level to which safety deficiencies can be accepted as function of: æ a) social tolerance; æ b) prioritization; and æ c) availability of operator/services provider resources to address them.

22. Module N° 6 ICAO Safety Management Systems (SMS) Course 22 Acceptable level of safety à Legal considerations – States äEstablishing acceptable level (s) of safety does not replace legal, regulatory, or other already established requirements, but it must support compliance with them. … äEstablishing acceptable level (s) of safety for their safety programme leaves unaffected the obligations of States, and does not relieve States from compliance with SARPs. … à Legal considerations – States äEstablishing acceptable level (s) of safety does not replace legal, regulatory, or other already established requirements, but it must support compliance with them. … äEstablishing acceptable level (s) of safety for their safety programme leaves unaffected the obligations of States, and does not relieve States from compliance with SARPs. …

23. Module N° 6 ICAO Safety Management Systems (SMS) Course 23 Acceptable level of safety à … Legal considerations – Operators and service providers äEstablishing acceptable level (s) of safety for their safety management system leaves unaffected the obligations of operators or services providers and other related parties, and it does not relieve the operator, services providers and other related parties from compliance with SARPs and/or national regulations, as applicable. à … Legal considerations – Operators and service providers äEstablishing acceptable level (s) of safety for their safety management system leaves unaffected the obligations of operators or services providers and other related parties, and it does not relieve the operator, services providers and other related parties from compliance with SARPs and/or national regulations, as applicable.

24. Module N° 6 ICAO Safety Management Systems (SMS) Course 24 Protecting sources of safety information àAssembly Resolution A35/17 àLegal guidance developed in Annex 13, Attachment E à Safety information must not be used for purposes different from the purposes for which it was collected. ä Introduction and definitions ä General principles ä Principles of protection ä Principles of exceptions ä Responsibilities of the custodian of safety information ä Protection of recorded information àAssembly Resolution A35/17 àLegal guidance developed in Annex 13, Attachment E à Safety information must not be used for purposes different from the purposes for which it was collected. ä Introduction and definitions ä General principles ä Principles of protection ä Principles of exceptions ä Responsibilities of the custodian of safety information ä Protection of recorded information

25. Module N° 6 ICAO Safety Management Systems (SMS) Course 25 Why ICAO safety management provisions? àA move from prescription to performance ä Prescriptive regulations – Prescribe what the safety requirements are and how they are to be met. ä Performance based regulations – Specify the safety requirements to be met, but provide flexibility in terms of how safety requirements are met. àA move from prescription to performance ä Prescriptive regulations – Prescribe what the safety requirements are and how they are to be met. ä Performance based regulations – Specify the safety requirements to be met, but provide flexibility in terms of how safety requirements are met.

27. Module N° 6 ICAO Safety Management Systems (SMS) Course 27 Q&A à Q: What is a safety programme, and what are its main components? à A: ? à Q: What is a safety programme, and what are its main components? à A: ? Slide number: 7

28. Module N° 6 ICAO Safety Management Systems (SMS) Course 28 Q&A à Q: What is a safety management system? à A: ? à Q: What is a safety management system? à A: ? Slide number: 10

29. Module N° 6 ICAO Safety Management Systems (SMS) Course 29 Points to remember 1.Standardised SMS provisions – Prescription vs. performance. 2.Safety programme. 3.SMS. 4.Acceptable of level of safety. a)Safety performance indicators. b)Safety performance targets. c)Safety requirements. 5.The need to protect the source of information References: Annexes 6, 11, 13 and14, and Doc 9859, Chapter 3 1.Standardised SMS provisions – Prescription vs. performance. 2.Safety programme. 3.SMS. 4.Acceptable of level of safety. a)Safety performance indicators. b)Safety performance targets. c)Safety requirements. 5.The need to protect the source of information References: Annexes 6, 11, 13 and14, and Doc 9859, Chapter 3

30. Module N° 6 – SMS regulation Safety Management Systems (SMS) Course