1. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 1 Fundamentals of a Safety Framework Dr. Erik Merckx EUROCONTROL EUROCONTROL Head of Safety Enhancement Business Division

2. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 2 Safety Framework : Separation

3. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 3 Safety Management

4. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 4 Contents of this Presentation  What is a Safety Management System (SMS) all about and what does it do for me  The maturity of SMS in Eurocontrol member States  Cost of Safety  Cost of lack of Safety  The need for European wide reporting of incidents  The European Strategic Safety Action Plan (SSAP)

5. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 5 Safety from the CEO/DG Perspective  The CEO or DG wants to be sure that the: Services given to the Airlines are safe Services given to the Airlines are safe Government is satisfied with the safety levels of his organisation Government is satisfied with the safety levels of his organisation Regulator is satisfied with the safety levels of his organisation Regulator is satisfied with the safety levels of his organisation General Public believes that his organisation is safe General Public believes that his organisation is safe Media are confident that the organisation is safe Media are confident that the organisation is safe What is a Safety Management System (SMS) all about and what does it do for me

6. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 6 Safety from the CEO/DG Perspective  The CEO or DG does not want : Überlingen, 1 July 2002 Linate, 8 October 2001 What is a Safety Management System (SMS) all about and what does it do for me

7. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 7 Safety from the CEO/DG Perspective  How does the CEO or DG know that the …. Services given to the Airlines are safe Services given to the Airlines are safe Government is satisfied with the safety levels of his organisation Government is satisfied with the safety levels of his organisation Regulator is satisfied with the safety levels of his organisation Regulator is satisfied with the safety levels of his organisation …… …… …... …... What is a Safety Management System (SMS) all about and what does it do for me

8. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 8 Safety from the CEO/DG Perspective  How does the CEO or DG know that …. The risk of an accident is as low as he wants it to be ( even if there has not been an accident for the last 25 years ) ? The risk of an accident is as low as he wants it to be ( even if there has not been an accident for the last 25 years ) ? The risk of a serious incident is as low as he wants it to be ? The risk of a serious incident is as low as he wants it to be ? He is being given the correct information about how safe his organisation is ? He is being given the correct information about how safe his organisation is ? His organisation is getting better or worse in terms of safety ? His organisation is getting better or worse in terms of safety ? What is a Safety Management System (SMS) all about and what does it do for me

9. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 9 Safety from the CEO/DG Perspective  How does the CEO or DG know …. What the most important investments are to continue to provide safe services, or to improve safe services ? What the most important investments are to continue to provide safe services, or to improve safe services ? Whether his organisation has the right quantity and quality of people ? Whether his organisation has the right quantity and quality of people ? Whether people need training, advanced training, refresher training … ? Whether people need training, advanced training, refresher training … ? What is a Safety Management System (SMS) all about and what does it do for me

10. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 10 Safety from the CEO/DG Perspective  The CEO or DG therefore needs …. A reliable information system on safety, the standards of which being as high as an accounting system A reliable information system on safety, the standards of which being as high as an accounting system A system that covers all the work in his organisation that has an impact on safety A system that covers all the work in his organisation that has an impact on safety A system that he can fully trust A system that he can fully trust A system that allows him to make correct decisions for the future of safety in his organisation A system that allows him to make correct decisions for the future of safety in his organisation What is a Safety Management System (SMS) all about and what does it do for me

11. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 11 Safety from the CEO Perspective  The CEO therefore needs a …. A reliable information system on safety, the standards of which being as high as an accounting system A reliable information system on safety, the standards of which being as high as an accounting system A system that covers all the work in his organisation that has an impact on safety A system that covers all the work in his organisation that has an impact on safety A system that he can fully trust A system that he can fully trust A system that allows him to make correct decisions for the future of safety in his organisation A system that allows him to make correct decisions for the future of safety in his organisation What is a Safety Management System (SMS) all about and what does it do for me

12. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 12 What is a Safety Management System ? What is a Safety Management System (SMS) all about and what does it do for me

13. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 13 What is a Safety Management System ? What is a Safety Management System (SMS) all about and what does it do for me

14. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 14 What is a Safety Management System What is a Safety Management System (SMS) all about and what does it do for me

15. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 15 What is a Safety Management What is a Safety Management System  Safety Culture  Leadership  Commitment to resources  Balanced decisions  People Management  Willingness to learn  Willingness to share expertise  ………………. What is a Safety Management System (SMS) all about and what does it do for me

16. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 16 What is a Safety System What is a Safety Management System  Methodology  Documentation  Regulatory Compliance  Traceability  Performance Indicators  Measuring Progress  Reviewing Processes  ………………. What is a Safety Management System (SMS) all about and what does it do for me

17. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 17 What is a Safety Management What is a Safety Management System  Safety Culture  Leadership  Commitment to resources  Balanced decisions  People Management  Willingness to learn  Willingness to share expertise  ………………. What is a Safety Management System (SMS) all about and what does it do for me

18. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 18 Source: Study by BELGOCONTROL, early 2002 Examples of “Safety Management System” Topics  Resources: Corporate Safety Management Function Average of 3.5 - 4.5 FTE per 1000 What is a Safety Management System (SMS) all about and what does it do for me

19. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 19 Source: Study by BELGOCONTROL, early 2002 Examples of “Safety Management System” Topics  Resources: Corporate Safety Management Function What is a Safety Management System (SMS) all about and what does it do for me CorporateOperations Engineering Admin / Finance Safety Average of 3.5 - 4.5 FTE per 1000 CEO

20. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 20 Examples of “Safety Management System” Topics  Safety Culture and Leadership : Promoting an non-punitive and open incident reporting culture : the Danisch example What is a Safety Management System (SMS) all about and what does it do for me

21. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 21 Examples of “Safety Management System” Topics  Safety Culture and Leadership : Airport hot spots in the AIP : the Belgian example What is a Safety Management System (SMS) all about and what does it do for me

22. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 22 Examples of “Safety Management System” Topics  Safety Culture and Leadership : Learning organisation: willingness to monitor safety performance and to discuss openly within the organisation, for the sake of lessons learnt and prevention purposes : Willingness to share lessons learnt with other ANSP’s : What is a Safety Management System (SMS) all about and what does it do for me The French example: SCTA, “Bulletin Securite”

23. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 23 Examples of “Safety Management System” Topics  Safety Culture and Leadership : ANSP’s work together to audit eachother’s safety activities and learn from eachother for safety improvement What is a Safety Management System (SMS) all about and what does it do for me The German (DFS), Austrian (Austrocontrol) and Swiss (Skyguide) example

24. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 24 What is a Safety System What is a Safety Management System  Methodology  Documentation  Regulatory Compliance  Traceability  Performance Indicators  Measuring Progress  Reviewing Processes  ………………. What is a Safety Management System (SMS) all about and what does it do for me

25. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 25 Examples of “Safety Management System” Topics  Safety Performance Indicators and Measuring Progress: there is more to measure than “Airprox” : Safety discussions and actions at senior management and directors’ meetings Safety discussions and actions at senior management and directors’ meetings Follow up of corrective actions coming from safety surveys Follow up of corrective actions coming from safety surveys Voluntary safety occurrence reporting schemes Voluntary safety occurrence reporting schemes Interviews with ATCO’s and Maintenance Engineers on their work and the issues as they see them Interviews with ATCO’s and Maintenance Engineers on their work and the issues as they see them What is a Safety Management System (SMS) all about and what does it do for me

26. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 26 Examples of “Safety Management System” Topics  Safety Performance Indicators and Measuring Progress: there is more to measure than “Airprox” : Measuring the participation to, quality of and effectiveness of Refresher Courses ( vs. number and type of incidents) Measuring the participation to, quality of and effectiveness of Refresher Courses ( vs. number and type of incidents) Measuring the involvement from all stakeholders in safety cases (engineers, ATCO’s, airport, airline, …) Measuring the involvement from all stakeholders in safety cases (engineers, ATCO’s, airport, airline, …) Measurement of the systematic use of safety cases in all ANSP activities: hardware changes, software changes, changes in airspace design, changes in SID’s, changes in ATCO manning, …. Measurement of the systematic use of safety cases in all ANSP activities: hardware changes, software changes, changes in airspace design, changes in SID’s, changes in ATCO manning, …. What is a Safety Management System (SMS) all about and what does it do for me

27. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 27 What is a Safety System What is a Safety Management System  Methodology  Documentation  Regulatory Compliance  Traceability  Performance Indicators  Measuring Progress  Reviewing Processes  ………………. What is a Safety Management System (SMS) all about and what does it do for me

28. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 28 Examples of “Safety Management System” Topics  The methodology of an SMS can be based on a Quality Management System (QMS )  An SMS can, together with a QMS, be part of an overall Management System  In a number of countries, the ISO 9001 model is used as the basis for an SMS But a QMS is not a SMS!! What is a Safety Management System (SMS) all about and what does it do for me

29. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 29 Examples of “Safety Management System” Topics  Using an ISO 9001 model for an SMS, one would start by making an inventory of: 1. All the key processes in the company that have an effect on the quality of the services that are given ( example: one of the key processes is how to do ATS without traffic delays ) 2. Identify from above all the key processes in the company that have an impact on the safety of the services that are given (example: one of the key processes is how to do ATS without risk of incidents and accidents ) What is a Safety Management System (SMS) all about and what does it do for me

30. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 30 Risk Assessment New Systems Examples of “Safety Management System” Topics  Examples of Key Processes with impact on safety: What is a Safety Management System (SMS) all about and what does it do for me Recruitment/ Selection Training Competency Checks Refresher/ Advanced Training Procedures Operational Processes Interfaces ATS and CNS CNS Maintenance Procedures Emergency Procedures Risk Assessment New ATC Procedures Risk Assessment Airspace Changes Risk Assessment Software Changes Incident Reporting Incident Investigation Lessons Learnt Safety Surveys and Follow-up All elements of the SMS described in policies, well documented, communicated, updated, data recorded

31. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 31 Risk Assessment New Systems Examples of “Safety Management System” Topics  Means of Compliance with ESARR’s What is a Safety Management System (SMS) all about and what does it do for me Recruitment/ Selection Training Competency Checks Refresher/ Advanced Training Procedures Operational Processes Interfaces ATS and CNS CNS Maintenance Procedures Emergency Procedures Risk Assessment New ATC Procedures Risk Assessment Airspace Changes Risk Assessment Software Changes Incident Reporting Incident Investigation Lessons Learnt Safety Surveys and Follow-up All elements of the SMS described in policies, well documented, communicated, updated, data recorded ESARR 3

32. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 32 Risk Assessment New Systems Examples of “Safety Management System” Topics  Means of Compliance with ESARR’s What is a Safety Management System (SMS) all about and what does it do for me Procedures Operational Processes Interfaces ATS and CNS CNS Maintenance Procedures Emergency Procedures Risk Assessment New ATC Procedures Risk Assessment Airspace Changes Risk Assessment Software Changes Incident Reporting Incident Investigation Lessons Learnt Safety Surveys and Follow-up Recruitment/ Selection Training Competency Checks Refresher/ Advanced Training ESARR 5 All elements of the SMS described in policies, well documented, communicated, updated, data recorded

33. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 33 Recruitment/ Selection Training Competency Checks Refresher/ Advanced Training Examples of “Safety Management System” Topics  Means of Compliance with ESARR’s What is a Safety Management System (SMS) all about and what does it do for me Procedures Operational Processes Interfaces ATS and CNS CNS Maintenance Procedures Emergency Procedures Incident Reporting Incident Investigation Lessons Learnt Safety Surveys and Follow-up ESARR 4 All elements of the SMS described in policies, well documented, communicated, updated, data recorded Risk Assessment New Systems Risk Assessment New ATC Procedures Risk Assessment Airspace Changes Risk Assessment Software Changes

34. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 34 Risk Assessment New Systems Risk Assessment New ATC Procedures Risk Assessment Airspace Changes Risk Assessment Software Changes Recruitment/ Selection Training Competency Checks Refresher/ Advanced Training Examples of “Safety Management System” Topics  Means of Compliance with ESARR’s What is a Safety Management System (SMS) all about and what does it do for me Procedures Operational Processes Interfaces ATS and CNS CNS Maintenance Procedures Emergency Procedures Safety Surveys and Follow-up ESARR 2 All elements of the SMS described in policies, well documented, communicated, updated, data recorded Incident Reporting Incident Investigation Lessons Learnt

35. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 35 The maturity of SMS in EUROCONTROL member States, beginning 2003 Maturity of SMS Implementation in EUROCONTROL ANSPs Source: Study by AEA for EUROCONTROL, early 2003

36. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 36 The maturity of SMS in EUROCONTROL member States, beginning 2003 Maturity of SMS Implementation in EUROCONTROL ANSPs Source: Study by AEA for EUROCONTROL, early 2003 35% 70%

37. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 37 The maturity of SMS in EUROCONTROL member States, beginning 2003 Maturity of SMS Implementation in EUROCONTROL ANSPs Source: Study by AEA for EUROCONTROL, early 2003 High Traffic Growth

38. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 38 Observations on SMS Implementation Source: Study by AEA for EUROCONTROL, early 2003  Two Major Conclusions Implementation of Safety Management System (SMS) in most ECAC States still has a long way to go Implementation of Safety Management System (SMS) in most ECAC States still has a long way to go A number of ANSP’s with low SMS maturity will have an increased safety risk due to high traffic growth A number of ANSP’s with low SMS maturity will have an increased safety risk due to high traffic growth The maturity of SMS in EUROCONTROL member States, beginning 2003

39. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 39 Observations on SMS Implementation Source: Study by AEA for EUROCONTROL, early 2003  Two Major Concerns – key inhibitors Leadership & Commitment Leadership & Commitment Resources Resources  Solving these issues is essential in making progress The maturity of SMS in EUROCONTROL member States, beginning 2003

40. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 40 Observations on SMS Implementation Source: Study by AEA for EUROCONTROL, early 2003  Other Issues Data reporting and sharing: Yes, but…… Data reporting and sharing: Yes, but…… Needs of Individual States are different Needs of Individual States are different Access to training in Safety Management is lacking Access to training in Safety Management is lacking Technical Safety Issues confuse even the experts Technical Safety Issues confuse even the experts Effectiveness & Appropriateness: small organisations struggle with one size fits all approach Effectiveness & Appropriateness: small organisations struggle with one size fits all approach The maturity of SMS in EUROCONTROL member States, beginning 2003

41. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 41 Observations on SMS Implementation Source: Study by AEA for EUROCONTROL, early 2003  The following features appear to have helped progress: Starting early. At least 3-5 years are required for a mature SMS Starting early. At least 3-5 years are required for a mature SMS An organisational culture that embraces proactive leadership of Safety/Quality An organisational culture that embraces proactive leadership of Safety/Quality The discipline of an ISO 9000 certified organisation. The discipline of an ISO 9000 certified organisation. The maturity of SMS in EUROCONTROL member States, beginning 2003

42. © 2004 EUROCONTROL TUNIS, 3-4 June 2004 42 Observations on SMS Implementation Source: Study by AEA for EUROCONTROL, early 2003  The following features appear to have helped progress (Cont’d): Regional or peer groups that share information and provide mutual assistance. Regional or peer groups that share information and provide mutual assistance. Being close to EUROCONTROL Being close to EUROCONTROL The maturity of SMS in EUROCONTROL member States, beginning 2003