Requirements - background SAFETY Management Requirements - background Baku Azerbaijan, 5 – 7 April 2006 Michel Béland ICAO Regional Safety Officer Europe and North Atlantic

Overview ICAO Background and Assembly Resolutions ATS Safety management Harmonization of safety provisions Examples of implementation (ATS) ICAO guidance material Conclusion Not meant to be a historical perspective. Just to describe how ICAO came upon SM programme. With the understanding that all of us have always been involved in promoting safety. Baku, Azerbaijan, 5-7 April 2006 - 2

ICAO the primary objective of the Organization continues to be to improve the safety of international civil aviation worldwide Assembly Resolutions Annexes Guidance material Regional Air navigation Plans Baku, Azerbaijan, 5-7 April 2006 - 3

Background – Assembly Resolutions ICAO Global Aviation Safety Plan A35-14 Consolidated Statement of continuing ICAO policies and associated practices related specifically to air navigation APPENDIX – X The provision of air traffic services A35-17 Protecting information from safety data collection and processing systems in order to improve aviation safety A33-16 10. Urges all Contracting States to examine and, if necessary, adjust their laws, regulations, and policies to achieve the proper balance among the various elements of accident prevention efforts (e.g. regulation, enforcement, training, and incentives to encourage voluntary reporting) and to encourage increased voluntary reporting of events that could affect aviation safety, and instructs ICAO to develop appropriate policies and guidance in this respect; 11. Urges all Contracting States to ensure that their aircraft operators, providers of air navigation services and equipment, and maintenance organizations have the necessary procedures and policies for voluntary reporting of events that could affect aviation safety; A35-14 Whereas Annex 11 to the Convention requires Contracting States to ensure that ATS safety management programmes are established; The Assembly resolves that: …3. States should ensure that safety management programmes are introduced by the relevant air traffic services provider in all airspaces and at all aerodromes where air traffic services are provided. A35-17 Recognizing that the protection of safety information from inappropriate use is essential to ensure the continued availability of all relevant safety information, to enable proper and timely preventive actions to be taken; Concerned by a trend for safety information to be used for disciplinary and enforcement actions, and to be admitted as evidence in judicial proceedings; Mindful that the use of safety information for other than safety-related purposes may inhibit the provision of such information, with an adverse effect on aviation safety; Considering that a balance needs to be struck between the need for the protection of safety information and the need for the proper administration of justice; Noting that existing international laws, as well as national laws and regulations in many States may not adequately address the manner in which safety information is protected from inappropriate use; 2. Urges all Contracting States to examine their existing legislation and adjust as necessary, or enact laws and regulations to protect information from all relevant safety data collection and processing systems based, to the extent possible, on the legal guidance developed by ICAO; Baku, Azerbaijan, 5-7 April 2006 - 4

ATS Safety Management Requirements Standards and Recommended Practices (SARPS) for Safety Management in ATS introduced in Amendment 40 to Annex 11 Complementary procedures introduced in Amendment 1 to the fourteenth edition of the PANS-ATM (Doc 4444) This was ICAO’s first venture into safety management. First placed in Annex 11 for ATS with an implementation date of November 2003. With the expanded SOA programme coming along, this date became urgent for States. This was a good start and it probably caused States to get to work, however, in hind sight 2003 was probably a bit early especially considering that we didn’t have the guidance material available and that it was a rather new concept Baku, Azerbaijan, 5-7 April 2006 - 5

Harmonization of safety provisions Annex 6 – Operation of Aircraft, Parts I and III Annex 11 – Air Traffic Services Annex 14 – Aerodromes Harmonized provisions require Implementation of SMS Clear definition of safety responsibilities State (regulator) Operator (Airline, ATS provider, aerodrome operator) Reference to guidance material New harmonized provisions were adopted by Council to harmonize Annex provisions in relation to Safety Management Systems Baku, Azerbaijan, 5-7 April 2006 - 6

New harmonized provisions Annexes 6, 11 and 14 Regulator responsibilities State shall establish a safety programme, in order to achieve an acceptable level of safety in (Annex specific): the operation of aircraft the maintenance of aircraft the provision of ATS aerodrome operations The acceptable level of safety to be achieved shall be established by the State(s) concerned Through Regional Air Navigation Agreements Annex specific Annex 11 2.26.2 The acceptable level of safety and safety objectives applicable to the provision of ATS within airspaces and at aerodromes shall be established by the State or States concerned. When applicable, safety levels and safety objectives shall be established on the basis of regional air navigation agreements. Note.— The acceptable level of safety may be specified in qualitative or quantitative terms. The following are examples of measures which could be used to express the acceptable level of safety: a) a maximum probability of an undesirable event, such as collision, loss of separation or runway incursion; b) a maximum number of accidents per flight hour; c) a maximum number of incidents per aircraft movement; d) a maximum number of valid short-term conflict alerts (STCA) per aircraft movement. Baku, Azerbaijan, 5-7 April 2006 - 7

New harmonized provisions Regulated entities States shall require that the (operator/maintenance organization/air traffic services provider/certified aerodrome operator) implement a safety management system approved by the (State/State of the operator) that, inter alia: identifies actual potential safety hazards provides for continuous monitoring and regular assessment of the level of safety achieved. ensures that remedial action necessary to maintain an acceptable level of safety is implemented Annex specific Baku, Azerbaijan, 5-7 April 2006 - 8

New harmonized provisions Regulated entities An approved safety management system shall clearly define lines of safety accountability throughout the (operator/maintenance organization/air traffic services provider/certified aerodrome operator), including a direct accountability for safety on the part of senior management Strong emphasis on management accountability. This was urged by Eurocontrol, Australia and others who were already deeply involved in SMS Baku, Azerbaijan, 5-7 April 2006 - 9

Annex 13 Use of safety information Difficult for some States New amendment adopted Additional emphasis on protection of information New legal guidance Principles Flexibility of adaptation For States to enact regulations The protection of safety information from inappropriate use is essential to ensure its continued availability, since the use of safety information for other than safety-related purposes may inhibit the future availability of such information, with an adverse effect on safety. The 35th Assembly of ICAO recognized that existing national laws and regulations in many States may not adequately address the manner in which safety information is protected from inappropriate use. The ICAO Council has just adopted amendment 11 to Annex 13. the Amendment expands the provisions related to the protection of safety-related information. The legal guidance will assist States to enact national laws and regulations to protect information gathered. The legal guidance developed takes the form of a series of principles that can be adapted to meet the needs of individual States, and encompasses all relevant safety data collection and processing systems, including certain accident and incident records. Baku, Azerbaijan, 5-7 April 2006 - 10

Examples of ATS safety management NATS introduced formal SM in 1991 EUROCONTROL Guidance material published in 1999 ESARR 3 published in 2000 ECAC supports Eurocontrol’s initiative The airline industry always had prescriptive and managed safety programmes, primarily because they were somewhat autonomous and their business plans required it. We never really had a managed approach to safety for ATS because the providers were the governments and nobody was overseeing them. Safety was addressed in different ways. In the UK, following a series of accidents in all kinds of industries, the notion of managing safety was born That found its way to Eurocontrol ICAO picked up on it at the end of the 90s for application in ATM Baku, Azerbaijan, 5-7 April 2006 - 11

ICAO Safety Management Manual (SMM) 1984 ICAO Accident Prevention Manual (APM) 2004 Draft SMS manual for ATM Draft SMS manual for Aerodromes Revised APM (second edition) 2005 New ICAO Safety Management Manual This is a brief overview of the guidance material developed by ICAO first in relation to accident prevention in 1984 and with the current Safety management manual published in 2005 in draft with the final version is now available from document sales in Montreal. Baku, Azerbaijan, 5-7 April 2006 - 12

Why an ICAO Manual Pressure on ICAO to publish appropriate guidance (Annexes 6, 11, 13, 14) Three large draft manuals produced around same time. ICAO would have difficulties in producing the three manuals in a timely fashion. All three dealt with SAFETY, albeit from different perspectives. Combined into one manual (SMM) As to the Accident Prevention Manual, it was finished early last year and is already available for free on the ICAO's web (www.icao.int) under the title  ICAO Accident Prevention Programme. How to get there:     1) go to the upper right corner and click on Site Index;     2) click on Accident Prevention and Investigation Section;     3) go to Manual and Circulars on the left pane; open the very last item ICAO Accident Prevention Programme   A lot of  that Programme is also part of the new ICAO Safety Management Manual (SMM, Doc 9859). The ICAO SMM consolidates four manuals into one: the ATM Safety Management Manual, the AGA Safety Management Manual, the OPS Safety Management Manual and the revised Accident Prevention Manual. In order to have the SMM as slim as practicable, we had to give up on many chapters of the revised Accident Prevention Manual. As it was felt the aviation community would benefit from the whole manual, we decided to call it Accident Prevention Programme and made it available for free on the web. The old (but still in force) Accident Prevention Manual (Doc 9422) should be disbanded in the near future. Baku, Azerbaijan, 5-7 April 2006 - 13

Safety Management Manual No single right way to address safety No one size that fits all (State, operator, individual) Manual takes a generic approach Include both approaches to safety (SMS and traditional) Users can take as much or as little as their circumstances permit Safety Management Manual First edition - 2006 Baku, Azerbaijan, 5-7 April 2006 - 14

Conclusion Harmonization of ICAO Safety provisions in Annex 11, 14 and 6. Safety management systems Identify and mitigate risk Safety New ICAO Safety management manual Your Contribution to Safety Implement safety management systems Foster safety culture Report safety occurrences Enforce regulations Baku, Azerbaijan, 5-7 April 2006 - 15

Requirements - background SAFETY Management Requirements - background Baku Azerbaijan, 5 – 7 April 2006 - END - Thank you Michel Béland ICAO Regional Safety Officer Europe and North Atlantic