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Revision N° 13ICAO Safety Management Systems (SMS) Course06/05/09 Module N° 6 – SMS regulation.

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Presentation on theme: "Revision N° 13ICAO Safety Management Systems (SMS) Course06/05/09 Module N° 6 – SMS regulation."— Presentation transcript:

1 Revision N° 13ICAO Safety Management Systems (SMS) Course06/05/09 Module N° 6 – SMS regulation

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

3 Module N° 6ICAO Safety Management Systems (SMS) Course 3 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

4 Module N° 6ICAO Safety Management Systems (SMS) Course 4 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

5 Module N° 6ICAO Safety Management Systems (SMS) Course 5 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

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

7 Module N° 6ICAO Safety Management Systems (SMS) Course 7 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

8 Module N° 6ICAO Safety Management Systems (SMS) Course 8 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

9 Module N° 6ICAO Safety Management Systems (SMS) Course 9 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 …

10 Module N° 6ICAO Safety Management Systems (SMS) Course 10 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]... Value of safety targets 1. [Reduction by/maximum] fatal airline accidents per [number] operations 2. [Reduction by/maximum] runway excursion events per [number] operations 3. [Reduction by /maximum] ground collision events per [number] operations 4. [Minimum number] of inspections completed [timeframe] …

11 Module N° 6ICAO Safety Management Systems (SMS) Course 11 Delivering ALoS – Safety action plans Tools and means to deliver the safety targets of an SSP: Operational procedures Technology Systems Training programmes

12 Module N° 6ICAO Safety Management Systems (SMS) Course 12 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 Reduce by/maximum] CFIT and approach and landing accidents per [number] departures 2. [Minimum number] inspections to operators completed quarterly Action plans Action plans 1.CFIT training package distributed to industry and supported by training courses 2.Revision and if necessary update of hiring policy. Inspection manual updated CFIT training package distributed to industry and supported by training courses 2.Revision and if necessary update of hiring policy. Inspection manual updated Values of safety indicators 1. Number] CFIT and approach and landing accidents per [number] departures 2. [Number] inspection to operators completed quarterly Number] CFIT and approach and landing accidents per [number] departures 2. [Number] inspection to operators completed quarterly State Will comply all applicable international standards.

13 Module N° 6ICAO Safety Management Systems (SMS) Course 13 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

14 Module N° 6ICAO Safety Management Systems (SMS) Course 14 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

15 Module N° 6ICAO Safety Management Systems (SMS) Course 15 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)

16 Module N° 6ICAO Safety Management Systems (SMS) Course 16 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.

17 Module N° 6ICAO Safety Management Systems (SMS) Course 17 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.

18 Module N° 6ICAO Safety Management Systems (SMS) Course 18 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)

19 Module N° 6ICAO Safety Management Systems (SMS) Course 19 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

20 Module N° 6ICAO Safety Management Systems (SMS) Course 20 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

21 Module N° 6ICAO Safety Management Systems (SMS) Course 21 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

22 Module N° 6ICAO Safety Management Systems (SMS) Course 22 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

23 Module N° 6ICAO Safety Management Systems (SMS) Course 23 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

24 Module N° 6ICAO Safety Management Systems (SMS) Course 24 Safety performance of an SMS Action Plans 1.Training course for drivers / installation of specific signage. 2.Thrice-daily walk-in ramp inspection programme. 3.… 1.Training course for drivers / installation of specific signage. 2.Thrice-daily walk-in ramp inspection programme. 3.… 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.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.… Safety performance indicators 1.20 events of unauthorized vehicles on the taxiways per 10,000 operations FOD events on the apron per 10,000 operations events of unauthorized vehicles on the taxiways per 10,000 operations FOD events on the apron per 10,000 operations Service provider Will comply all applicable national and international standards.

25 Module N° 6ICAO Safety Management Systems (SMS) Course 25 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)

26 Module N° 6ICAO Safety Management Systems (SMS) Course 26 SSP – SMS relationship Services provider State Protection Production State Safety Programme (SSP) State Safety Programme (SSP) Organizations Safety Management system (SMS) Organizations Safety Management system (SMS) Service delivery Objective: Safety risk management Objective: Safety risk management Objective: Support production goals and customer satisfaction Safety assurance Acceptance Compliance oversight Acceptance Compliance oversight Performance-based oversight Performance-based oversight

27 Module N° 6ICAO Safety Management Systems (SMS) Course 27 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. 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. 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.

28 Module N° 6ICAO Safety Management Systems (SMS) Course 28 The objective (Remember Module 1?) Safety management Safety management ICAO SARPS Performance based Performance based Prescriptive Realistic implementation

29 Module N° 6ICAO Safety Management Systems (SMS) Course 29 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. 2.1 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 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. 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.

30 Module N° 6ICAO Safety Management Systems (SMS) Course 30 In summary Action plans 1.Training course for drivers / installation of specific signage. 2.Thrice-daily walk-in ramp inspection programme. 3.… 1.Training course for drivers / installation of specific signage. 2.Thrice-daily walk-in ramp inspection programme. 3.… 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.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.… Safety performance indicators 1.20 events of unauthorized vehicles on the taxiways per 10,000 operations FOD events on the apron per 10,000 operations events of unauthorized vehicles on the taxiways per 10,000 operations FOD events on the apron per 10,000 operations Service provider Will comply all applicable national and international standards.

31 Module N° 6ICAO Safety Management Systems (SMS) Course 31 Questions and answers SMS regulation

32 Module N° 6ICAO Safety Management Systems (SMS) Course 32 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

33 Module N° 6ICAO Safety Management Systems (SMS) Course 33 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

34 Module N° 6ICAO Safety Management Systems (SMS) Course 34 Points to remember 1.SSP 2.SMS 3.Acceptable of level of safety (ALoS) 4.Safety performance of the SMS 5.Management accountability 6.Prescription vs. Performance

35 Revision N° 13ICAO Safety Management Systems (SMS) Course06/05/09 Module N° 6 – SMS regulation


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