2Safety Management System Course structure Module 1 SMS course introductionModule 2Basic safety conceptsModule 3 Introduction to safety managementModule 4HazardsModule 5RisksModule 6SMS regulationModule 7Introduction to SMSModule 8SMS planningModule 9SMS operationModule 10Phased approach to SSP and SMS ImplementationSafetyModule 10Phased approach to SSP and SMS ImplementationManagementSystemModule 8SMS planningModule 9SMS operationModule 6SMS regulationModule 7Introduction to SMS
3ObjectiveAt 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
4Outline SSP and SMS requirements What is an SSP? What is an SMS? Acceptable level of safety (ALoS) – Implementation, scope and legal considerationsSafety performance of the service provider’s SMSPerformance-based regulatory environmentQuestions and answersPoints to remember
5The big picture Two audience groups States Service providers Three distinct requirementsState safety programme (SSP)Acceptable level of safety (ALoS)Safety management System (SMS)Safety performance of the SMSManagement accountability
6Basic 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)
7What 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 regulationAccident/incident investigationSafety assuranceMandatory/voluntary reporting systemsSafety data analysis and exchangeSafety promotionFurther discussed in Module 10
8Basic safety management SARPs The acceptable level of safety (ALoS) to be achieved shall be established by the StateWhen establishing ALoS, consideration must be given toThe level of safety risk that appliesThe safety risk toleranceThe cost/benefits of improvements to the aviation systemThe public expectations in civil aviation system8
9Safety indicators and safety targets Fatal airline accidents/serious incidentsRunway excursion events/ground collision eventsDevelopment/absence of primary aviation legislationDevelopment/absence of operating regulationsLevel of regulatory compliance…Safety targetsReduction in fatal airline accident/serious incidentsReduction in runway excursion events/ground collision eventsNumber of inspections completed quarterly
10Values of safety indicators and safety targets – Examples Value of safety indicators[Rate/number] Fatal airline accidents per [number] operations[Rate/number] Runway excursion events per [number] operations[Rate/number] Ground collision events per [number] operations[Number] inspections to operators completed [timeframe] ...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]…
11Delivering ALoS – Safety action plans Tools and means to deliver the safety targets of an SSP:Operational proceduresTechnologySystemsTraining programmes
12ALoS – Example Values of safety targets Action plans Reduce by/maximum] CFIT and approach and landing accidents per [number] departures[Minimum number] inspections to operators completed quarterly...ActionplansCFIT training package distributed to industry and supported by training coursesRevision and if necessary update of hiring policy. Inspection manual updated...Values of safety indicatorsNumber] CFIT and approach and landing accidents per [number] departures[Number] inspection to operators completed quarterly...StateWill comply all applicable international standards.
13ALoS 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 themEstablishing ALoS for the SSP leaves unaffected the obligations of States, and does not relieve States from compliance with SARPs
14A fundamental differentiation Safety measurementQuantification of the outcomes of high-level or high- consequence eventsAccident ratesSerious incident ratesQuantification of high-level State functionsDevelopment/absence of primary aviation legislationDevelopment/absence of operating regulationsLevel of regulatory compliance14
15A fundamental differentiation Safety performance measurementQuantification of the outcomes of low-level, low consequences processesNumber of FOD events per number of ramp OPSNumber of ground vehicle events in taxiways per number of airport OPSProvide a measure of the actual performance of an individual SSP or SMS (Beyond accident rates and regulatory compliance)15
16A fundamental differentiation Safety measurementNot a continuous process.A spot check.Conducted following pre-specified timeframes.Safety performance measurementContinuous process.Monitoring and measurement of selected operational activities necessary for the provision of services.
17Basic 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:identifies safety hazards;ensures that remedial action necessary to maintain safety performance is implemented;provides for continuous monitoring and regular assessment of the safety performance; andaims at a continuous improvement of the overall performance of the SMS.
18Service providersApproved training organizations that are exposed to safety risks during the provision of their servicesAircraft operatorsApproved maintenance organizationsOrganizations responsible for design and/or manufacture of aircraftAir traffic services providersCertified aerodromesThe ICAO SMS framework (Module 8)
19What is an SMS?A systematic approach to managing safety, including the necessary organizational structures, accountabilities, policies and proceduresService providers are responsible for establishing an SMSStates are responsible, under the SSP, for the acceptance and oversight of organizations’ SMS
20Safety performance of services provider’s SMS Expresses the safety objectives of a service provider.Provides measurable reference for measuring the safety performance of an SMSWithin each State, the safety performance of each SMS will separately be agreed between the State oversight authority and individual aviation organizationsAgreed safety performance should be commensurate to the:complexity of individual service provider specific operational context; andavailability of service provider resources to address them
21Safety performance of an SMS The safety performance of an SMS represents safety performance measurement exclusivelyThe safety performance of an SMS is expressed in practical terms by two measures or metrics:Safety performance indicatorsSafety performance targetsIt is delivered through various tools and means:Safety requirements21
22Safety performance of an SMS Safety performance indicatorsShort-term, tactical, measurable objectives reflecting the safety performance of an SMSThey include safety performance measurement exclusivelyExpressed in numerical termsSafety performance targetsLong-term, strategic, measurable objectives reflecting the safety performance of an SMSThey include safety performance measurement exclusively.22
23Safety performance of an SMS Legal considerationsEstablishing 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
24Safety performance of an SMS Safety performance targetsMaintain no more than 20 events of unauthorized vehicles on the taxiways per 10,000 operations.By January 2010 reduce to 8 FOD events on the apron per 10,000 operations.…Action PlansTraining course for drivers / installation of specific signage.Thrice-daily walk-in ramp inspection programme.…Safety performance indicators20 events of unauthorized vehicles on the taxiways per 10,000 operations.15 FOD events on the apron per 10,000 operations....Service providerWill comply all applicable national and international standards.24
25Basic 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 one’s actions)
26SSP – SMS relationship Protection Production State Safety Programme (SSP)Objective:Safety riskmanagementPerformance-basedoversightAcceptanceComplianceoversightServices providerOrganization’sSafetyManagementsystem (SMS)Service deliveryObjective:Supportproductiongoals andcustomersatisfactionObjective:Safety riskmanagementSafety assurance
27In 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.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.
29In summary Prescription Performance 2.1 Safety requirements for service providers SMSThe State has established the controls which govern how service providers will identify hazards and manage safety risks.3.1 Safety oversightThe 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 performanceThe State has agreed with individual service providers on the safety performance of their SMS.3.2 Safety data collection, analysis and exchangeThe State has established mechanisms to ensure the capture and storage of data on hazards and safety risks at both an individual and aggregate State’s level.3.3 Safety data driven targeting of oversight on areas of greater concern or needThe 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.
30Performance Prescription In summarySafety performance targetsMaintain no more than 20 events of unauthorized vehicles on the taxiways per 10,000 operations.By January 2009 reduce to 8 FOD events on the apron per 10,000 operations.…Action plansPerformanceTraining course for drivers / installation of specific signage.Thrice-daily walk-in ramp inspection programme.…Safety performance indicators20 events of unauthorized vehicles on the taxiways per 10,000 operations.15 FOD events on the apron per 10,000 operations....Service providerWill comply all applicable national and international standards.Prescription30
32Questions and answersQ: What are the main responsibilities in a State safety programme (SSP)?A:Safety regulationAccident/incident investigationSafety assuranceMandatory/voluntary reporting systemsSafety data analysis and exchangeSafety promotionSlide number: 7
33Questions 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
34Points to remember SSP SMS Acceptable of level of safety (ALoS) Safety performance of the SMSManagement accountabilityPrescription vs. Performance