ICAO SMS M 06 – SMS regulation 09 (R13) (E)

8/3/2019 ICAO SMS M 06 SMS regulation 09 (R13) (E)

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Revision N13 ICAO Safety Management Systems (SMS) Course 06/05/09

Module N 6 SMSregulation


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Module N6 ICAO Safety Management Systems (SMS) Course #

Course structure

Module 1

SMS course

introduction

Module 2

Basic safety

concepts

Module 3Introduction

to safetymanagement

Module 4

Hazards

Module 5

Risks

Module 6

SMS regulation

Module 7

Introduction to SMS

Module 8

SMS planning

Module 9

SMS operation

Module 10Phased approach toSSP and SMSImplementation

SafetyManagementSystem

Module 6

SMS regulation

Module 7

Introduction to SMS

Module 8

SMS planning

Module 9

SMS operation

Module 10Phased approach toSSP and SMSImplementation


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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


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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


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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


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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)


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What is an SSP?

An integrated set of regulations and activities aimed atimproving safety.

States are responsible for establishing an SSP,encompassing the following responsibilities:Safety regulation

Accident/incident investigationSafety assurance

Mandatory/voluntary

reporting systems

Safety data analysis andexchange

Safety promotion

Further discussed in Module 10


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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 toThe 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


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Safety indicators and safety targets

Safety indicatorsFatal 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


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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]


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Delivering ALoS Safety action plans

Tools and means to deliver the safety targets of an SSP:Operational procedures

Technology

Systems

Training programmes


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ALoS Example

Values ofsafety

targets

1. Reduce by/maximum]CFIT and approach and landing accidents per

[number]departures

2. [Minimum number]inspections to operators completed quarterly

3. ...

Action

plans

1. CFIT training packagedistributed to industry and supported by training

courses

2. Revision and if necessary update of hiring policy. Inspection manual

updated

3. ...

Values of

safetyindicators

1. Number] CFIT and approach and landing accidents per[number]

departures

2. [Number] inspection to operators completed quarterly

3. ...

State Will comply all applicable international standards.


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ALoS of an SSP

Legal considerationsEstablishing 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


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A fundamental differentiation

Safety measurementQuantification 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


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Safety performance measurementQuantification 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)


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Safety measurementNot 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.


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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 regularassessment of the safety performance; and

d) aims at a continuous improvement of the overall

performance of the SMS.


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Service providers

Approved training organizations that are exposed to safetyrisks 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)


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What is an SMS?

A systematic approach tomanaging safety, including the

necessary organizational

structures, accountabilities,

policies and proceduresService providers are responsible

forestablishing an SMS

States are responsible, under theSSP, for the acceptance and

oversight of organizations

SMS


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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 oversightauthority 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


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Safety performance of an SMS

The safety performance of an SMS represents safetyperformance measurement exclusively

The safety performance of an SMS is expressed in practical

terms by two measures or metrics:

Safety performanceindicators

Safety performance targets

It is delivered through various tools and means:

Safety requirements


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Safety performance indicatorsShort-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 SMSThey include safety performance measurement exclusively.

Expressed in numerical terms


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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


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Action Plans

1. Training course for drivers / installation of specific signage.

2. Thrice-daily walk-in ramp inspection programme.

3.

Safetyperformance

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.

Safety

performanceindicators

1. 20 events of unauthorized vehicles on the taxiways per 10,000 operations.

2. 15 FOD events on the apron per 10,000 operations.3. ...

Serviceprovider

Will comply all applicable national and international standards.


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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)


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SSP SMS relationship

Servic

es

provider

State

Protection Production

State

Safety

Programme

(SSP)

Organizations

Safety

Management

system (SMS)

Service delivery

Objective:Safety riskmanagement

Objective:Safety risk

management

Objective:Supportproduction

goals andcustomersatisfaction

Safety assurance

AcceptanceCompliance

oversight

Performance-based

oversight


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In summary

State Service providerStates 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 beestablished by the State.

Identify safety hazards.

Ensure ensures 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.


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The objective (Remember Module 1?)

Safety

management

ICAOSARPS

Performancebased

Prescriptive

Realisticimplementation


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In summary

Prescription Performance2.1 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 safetyperformanceThe State has agreed with individual service

providers on the safety performance of theirSMS.

3.2 Safety data collection, analysis and

exchangeThe State has established mechanisms toensure the capture and storage of data onhazards and safety risks at both an individualand aggregate States level.

3.3 Safety data driven targeting of oversight onareas of greater concern or needThe State has established procedures to

prioritize inspections, audits and surveystowards those areas of greater safety concernor need, as identified by the analysis of dataon hazards, their consequences in operations,and the assessed safety risks.


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In summary

Action plans

1. Training course for drivers / installation of specific signage.

2. Thrice-daily walk-in ramp inspection programme.

3.

Safetyperformance

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.

Safety

performanceindicators

1. 20 events of unauthorized vehicles on the taxiways per 10,000 operations.

2. 15 FOD events on the apron per 10,000 operations.3. ...

Serviceprovider

Will comply all applicable national and international standards.


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SMS regulation


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Q: What are the main responsibilities in a State safetyprogramme (SSP)?

A:

Safety regulation

Accident/incident investigationSafety assurance

Mandatory/voluntary reporting systems

Safety data analysis and exchange

Safety promotion

Slide number: 7


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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


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Points to remember

1. SSP2. SMS

3. Acceptable of level of safety (ALoS)

4. Safety performance of the SMS

5. Management accountability

6. Prescription vs. Performance


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R i i N 13 ICAO S f t M t S t (SMS) C 06/05/09

Module N 6 SMS

regulation

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ICAO SMS M 06 – SMS regulation 09 (R13) (E)

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