Module N 6 SMS regulation

Revision N 13

ICAO Safety Management Systems (SMS) Course

06/05/09

Course structure

Safety Management System Module 8

Module 5 Risks Module 1 SMS course introduction
Module N 6

Module 10 Phased approach to SSP and SMS Implementation Module 9 SMS operation

SMS planning

Module 6 SMS regulation Module 2 Basic safety concepts

Module 7 Introduction to SMS

Module 3 Introduction to safety management

Module 4 Hazards
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ICAO Safety Management Systems (SMS) Course

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

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ICAO Safety Management Systems (SMS) Course

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 providers SMS Performance-based regulatory environment Questions and answers Points to remember
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ICAO Safety Management Systems (SMS) Course

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
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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)

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ICAO Safety Management Systems (SMS) Course

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
Module N 6 ICAO Safety Management Systems (SMS) Course

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

Safety indicators and safety targets

Safety indicators 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
Module N 6 ICAO Safety Management Systems (SMS) Course

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] operations 4. [Number] inspections to operators completed [timeframe] ...
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1.

2.

3.

4.

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]
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ICAO Safety Management Systems (SMS) Course

Delivering ALoS Safety action plans

Tools and means to deliver the safety targets of an SSP:

Operational procedures
Technology

Systems
Training programmes

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ICAO Safety Management Systems (SMS) Course

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. ... 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. ... 1. Number] CFIT and approach and landing accidents per [number] departures 2. [Number] inspection to operators completed quarterly 3. ...
Will comply all applicable international standards.
ICAO Safety Management Systems (SMS) Course

Action plans

Values of safety indicators State

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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

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ICAO Safety Management Systems (SMS) Course

A fundamental differentiation
Safety measurement

Quantification of the outcomes of high-level or highconsequence 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
Module N 6 ICAO Safety Management Systems (SMS) Course

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)
Module N 6 ICAO Safety Management Systems (SMS) Course

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.

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ICAO Safety Management Systems (SMS) Course

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

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)
Module N 6 ICAO Safety Management Systems (SMS) Course

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
Module N 6 ICAO Safety Management Systems (SMS) Course

Safety performance of services providers 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
Module N 6 ICAO Safety Management Systems (SMS) Course

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

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. Expressed in numerical terms
Module N 6 ICAO Safety Management Systems (SMS) Course

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

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ICAO Safety Management Systems (SMS) Course

Safety performance of an SMS

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. 1. Training course for drivers / installation of specific signage. Action Plans 2. Thrice-daily walk-in ramp inspection programme. 3. 1. 20 events of unauthorized vehicles on the taxiways per 10,000 operations. 2. 15 FOD events on the apron per 10,000 operations.

Safety performance indicators Service provider

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3. ...

Will comply all applicable national and international standards.

ICAO Safety Management Systems (SMS) Course

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

ones actions)

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ICAO Safety Management Systems (SMS) Course

SSP SMS relationship

Protection
Objective: Safety risk management

Production

State Safety Programme (SSP)

State

Acceptance Compliance oversight Objective: Safety risk management

Performance-based oversight

Organizations Safety Management system (SMS)

Safety assurance

Service delivery

Objective: Support production goals and customer satisfaction

Services provider

Module N 6

ICAO Safety Management Systems (SMS) Course

In summary
State
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.

Service provider
Identify safety hazards. Ensure ensures 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.
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ICAO Safety Management Systems (SMS) Course

The objective (Remember Module 1?)

Realistic implementation
Safety management Performance based

Prescriptive

ICAO SARPS

Module N 6

ICAO Safety Management Systems (SMS) Course

In summary
Prescription
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.

Performance
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 States 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.
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Module N 6

ICAO Safety Management Systems (SMS) Course

In summary
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. 1. Training course for drivers / installation of specific signage.

Action plans

2. Thrice-daily walk-in ramp inspection programme.

3. 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. ...

Safety performance indicators Service provider

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Will comply all applicable national and international standards.

ICAO Safety Management Systems (SMS) Course

SMS regulation

Questions and answers

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ICAO Safety Management Systems (SMS) Course

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
Module N 6 ICAO Safety Management Systems (SMS) Course

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

Points to remember
1. 2. 3. 4. 5. 6. SSP SMS Acceptable of level of safety (ALoS) Safety performance of the SMS Management accountability Prescription vs. Performance

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ICAO Safety Management Systems (SMS) Course

Module N 6 SMS regulation

Revision N 13

ICAO Safety Management Systems (SMS) Course

06/05/09