1

EUR Runway safety and ATS safety management Seminar

Moscow, Russian Federation

12-15 September 2005

ICAO Safety management provisions and Manual on Safety management

Gustavo De LeónTechnical Officer, ATM

ICAO

2

Objectives

• Basic concepts related to Safety management systems;

• Harmonization of ICAO Safety provisions through the consolidation of requirements related to Safety management systems contained in Annexes 11, 14 and introducing the concept in Annex 6; and

• New ICAO Safety management manual (SMM)

3

What is Safety

• Safety is the state in which the risk of harm to persons or property damage is reduced to, and maintained at or below, an acceptable level through a continuing process of hazard identification and risk management.

• Risk is inherent in all human activity• The best we can do is manage it

4

Risk

• Risk• The probable rate of occurrence of a

hazard causing harm and the degree of severity of the harm

• Risk = severity * probability

• As low as reasonable probable (ALARP)

5

ALARP

• As Low As Reasonable Probable

Unacceptableregion

Acceptableregion

Tolerableregion

ALARP

Negligiblerisk

6

Risk Classification Scheme (Example)

7

Safety Management System

• Safety management system provides organizations with:• the capacity to anticipate and address

safety issues before they lead to an incident or accident

• the ability to deal effectively with accidents and incidents so that valuable lessons are applied to improve safety and efficiency

• reduces costs through the proactive management of risks

8

Safety Management Systems

• Management approach to human and organizational risks

• Should be applied throughout the entire organization, including non-regulated areas

• Mitigate latent conditions so that the holes in the Swiss cheese cannot line-up

9

Cautionary Notes

• A Safety Management System in it self does not eliminate all risks…

• It is a management tool which ensures a systematic and pro-active approach to safety throughout the whole organization of the ATS Service Provider

10

The Concept of SMS

Philosophy of Safety

Management

Philosophy of Safety

Management

SafetyMonitoring

SafetyAssessment

SafetyAuditing

SafetyPromotion

SafetyPolicy

Supportingorganizationalrequirement

Maintenance orImprovement

of SafetyPerformance

Safety Management

Safety Culture

Safety Culture

11

Philosophy of Safety Management

• Explicit

• Systematic

• Proactive

Philosophy of Safety

Management

Philosophy of Safety

Management

12

Safety Policy

• Overall safety objective of the organization • Commitment of senior management to meet

safety performance targets • Commitment by the organization to a

proactive and systematic approach to the management of safety

• Commitment by the organization to making maintenance of safety its highest priority

• The organization’s policy concerning responsibility and accountability for safety at all levels of the organization

SafetyPolicy

13

Safety Culture

• Managers in top positions foster a climate with a positive attitude towards criticism, comments and feedback from lower level of the organization

• Awareness of the importance of communicating relevant safety information at all levels of the organization is present;

• Low incidence of risk taking behavior and a safety ethic discouraging such behavior.

Safety Culture

Safety Culture

14

Safety Monitoring

• Specify Safety Performance Indicators • Set Safety Performance Targets• Develop & implement appropriate data

collection procedures • Safety Occurrence Reporting & Investigation

System

• Develop and implement monitoring processes

SafetyMonitoring

SafetyAssessment

SafetyAuditing

SafetyPromotion

15

Safety MonitoringOccurrence Reporting and Investigation System

• Establishment of reporting culture

• Mandatory/Voluntary

• Non-punitive

• Just culture

SafetyMonitoring

SafetyAssessment

SafetyAuditing

SafetyPromotion

16

Safety Assessment

Seven step approach

• Develop complete description of the system and of the environment in which the system is to be operated

• Identification of hazards • Estimation of severity of potential consequences • Estimate of likelihood of hazard occurring • Evaluation of risk • Mitigation of risk • Development of safety assessment

documentation

SafetyMonitoring

SafetyAssessment

SafetyAuditing

SafetyPromotion

17

Safety Auditing

• Ensure that risks are identified and the potential for causing or contributing to an incident are recognized

• Ensure that the “health” of the safety management system

• Ensure that adequate arrangements exist to handle foreseeable emergencies

• Ensure that equipment performance is adequate for the safety performance

• Ensure that effective arrangements exist for promoting safety, monitoring safety performance and processing safety issues

SafetyMonitoring

SafetyAssessment

SafetyAuditing

SafetyPromotion

18

Safety Promotion

• Promulgation of Safety Management

• Lesson Dissemination

• Continuous awareness campaigns on safety management

SafetyMonitoring

SafetyAssessment

SafetyAuditing

SafetyPromotion

19

Supporting Organizational Requirements

• Responsibility and accountability

• Safety Manager / Safety Organization

• Training and competency of personnel

• Safety documentation

Supportingorganizationalrequirement

20

Safety Organization

Chief Executive

SafetyManager

TrainingTechnicalDivision

OperationsDivision ------

21

Safety Performance

Identify actual and potential hazards and determine the need for remedial action

Ensure that remedial action necessary to maintain an acceptable level of safety is implemented

Provide for continuous monitoring and regular assessment of the safety level achieved

Maintenance orImprovement

of SafetyPerformance

22

Summarizing SMS

• Safety is a condition in which the risk of harm or damage is limited to an acceptable level

• Safety Management System is a tool

Remember:Implementation of Safety Management is not a desk job. It requires senior management commitment, senior management leadership and an organization willing to develop a safety culture

23

Eleventh Air Navigation Conference

Recommendation 2/1 — A framework for system safety

That ICAO investigate appropriate mechanisms for the development and implementation of a framework for a uniform and system-wide approach to safety, and the application of this framework to:

a) the harmonization of provisions relating to safety assessment and safety management in relevant Annexes and Procedures for Air Navigation Services (PANS); and

b) the harmonization of the approaches to safety assessment in the development of safety-related standards and recommended practices (SARPs)

24

ICAO activities in support of systems safety

• ATM operational concept considers safety from the start and throughout the life cycle

• Systems approach to safety oversight• Unified strategy• Harmonization of ICAO Safety

Management provisions

25

Preparing for Global ATM

• The emerging ATM system will allow maximum use to be made of enhanced capabilities and new technologies

• Integrated system• Implementation requires adoption of a

systems safety approach to safety• Eleventh Air Navigation Conference

adopted a global ATM Operational Concept

26

An integrated ATM Systemrequires an integrated approach to safety

People Systems

Procedures

Management

ATMService provider

Aircraft operations

Maintenance Engineering

Airspaceorganization

and Management

ATM service delivery management

Communications

Navigation

Surveillance

Information

Demand capacitybalancingAirspace User

AerodromeOperator

Conflict Management

Information rich environment

Traffic synchronisation

27

Inspiration for ATS safety management provisions

• NATS introduced formal SM in 1991• ECAC adopted a common safety

programme to implement SM • EUROCONTROL

• Guidance material published in 1999• ESARR 3 published in 2000

28

Source of 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)

29

AN-Conf/11-Harmonization of safety provisions

• Annex 6 – Operation of Aircraft, Parts I and III

• Annex 11 – Air Traffic Services• Annex 14 – Aerodromes• Two basic concepts

• Safety programme – An integrated set of regulations and activities aimed at improving safety

• Safety management system – An organized approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures Two levels of responsibility for implementation

• State• Operator (Airline, ATS provider, aerodrome operator)

30

New harmonized provisions(Regulator)• Annexes 6, 11 and 14

• States 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

31

New harmonized provisions(Provider)

• 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; and

32

New harmonized provisions(Provider)

• 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

33

The State as a Service Provider

• Where a State is also an ATM service provider: • It is important that there is a clear

distinction between the regulatory functions and the service provision functions

• The regulatory division must maintain effective safety oversight of the service provision divisions

34

ICAO Safety Management Manual (SMM)

• 1984 ICAO Accident Prevention Manual (APM)

• 2004 Draft SMS manual for ATMDraft SMS manual for AerodromesRevised APM (second edition)

• 2005 New ICAO Safety Management Manual

35

Why an ICAO Safety Management Manual

• Pressure on ICAO to publish appropriate guidance • (Annexes 6, 11, 13, 14)

• Three large draft manuals produced around same time.

• ICAO would have trouble producing the three manuals in a timely fashion.

• All three dealt with SAFETY, albeit from different perspectives.

• Combine into one manual (SMM)

36

The Safety Management Manual- Concept• No right (or single) way to address safety • No one size that fits all. (State, Operator, Individual)• Manual will take a more generic approach• Include both approaches to safety (SMS and

traditional)• Users can take as much or as little as their

circumstances permit• Make available on website;

• More timely to produce• Cheaper; for ICAO and the user• Users can down-load as much as they want (cut and

paste)• Can be easily updated by ICAO as new ideas/programmes

are developed

37

SMM OutlinePart 1 — Introduction

• Chapter 1- Overview

• Chapter 2 - Responsibility For Safety Management

• Chapter 3 – State Safety Programme

38

SMM OutlinePart 2 — The Management of Safety

• Chapter 4 – Understanding Safety

• Chapter 5 – Basic of Safety

Management

• Chapter 6 – Risk Management

• Chapter 7 – Hazard and Incident Reporting

• Chapter 8 – Safety Investigations

39

SMM OutlinePart 2 — The Management of Safety

• Chapter 9 – Safety Analysis and Studies

• Chapter 10 – Safety Performance Monitoring

• Chapter 11 – Emergency Response Planning

40

SMM Outline

Part 3 - Safety Management Systems (SMS)

• Chapter 12 – Establishing A Safety

Management System

• Chapter 13 - Safety Assessments

• Chapter 14 - Safety Auditing

• Chapter 15 - Practical Considerations For

Operating a Safety Management System

41

SMM OutlinePart 4 — Applied Safety Management • Chapter 16 – Aircraft Operations

• Chapter 17 – Air Traffic Services Operations

• Chapter 18 – Aerodrome Operations • Chapter – 19 Aircraft Maintenance

42

Conclusions

• Safety, Risk and Safety management systems

• Harmonization of ICAO Safety provisions in Annex 11, 14 and 6.

• New ICAO Safety management manual

43

Your Contribution to Safety

• Implement safety management systems

• Foster safety culture• Enforce regulations• Report safety occurrences

44

THE END

THANKS