Module N 6 SMS regulation

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Module N 6 SMSregulation
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Course structure
Safety
Module 10 Phased approach to SSP and SMS
Implementation
Management
System
Module 8 SMS planning
Module 9 SMS operation
Module 6 SMS regulation
Module 7 Introduction to SMS
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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 at improving safety.
• States are responsible for establishing an SSP,
  encompassing the following responsibilities

• Safety regulation
• Accident/incident investigation
• Safety assurance
• Mandatory/voluntary reporting systems
• Safety data analysis and
  exchange
• 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 to
• The 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 indicators
• Fatal airline accidents/serious incidents
• Runway excursion events/ground collision events
• Development/absence of primary aviation
  legislation
• Development/absence of operating regulations
• Level of regulatory compliance
• Safety targets
• Reduction in fatal airline accident/serious
  incidents
• Reduction in runway excursion events/ground
  collision events
• Number of inspections completed quarterly

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Values 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

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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 of safety targets

• Reduce by/maximum CFIT and approach and landing
  accidents per number departures
• Minimum number inspections to operators
  completed quarterly
• ...

Action plans

• CFIT training package distributed to industry and
  supported by training courses
• Revision and if necessary update of hiring
  policy. Inspection manual updated
• ...

Values of safety indicators

• Number CFIT and approach and landing accidents
  per number departures
• Number inspection to operators completed
  quarterly
• ...

State
Will comply all applicable international
standards.
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ALoS 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
  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 measurement
• Quantification 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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A fundamental differentiation

• Safety performance measurement
• Quantification 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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A fundamental differentiation

• Safety measurement
• Not 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
• 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 and
• 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 safety risks 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 to managing safety,
  including the necessary organizational
  structures, accountabilities, policies and
  procedures
• Service providers are responsible for
  establishing an SMS
• States are responsible, under the SSP, 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
  oversight authority 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
  safety performance measurement exclusively
• The safety performance of an SMS is expressed in
  practical terms by two measures or metrics
• Safety performance indicators
• Safety performance targets
• It is delivered through various tools and means
• Safety requirements

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Safety performance of an SMS

• Safety performance indicators
• Short-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 SMS
• They include safety performance measurement
  exclusively.
• Expressed in numerical terms

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Safety performance of an SMS

• 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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Safety performance of an SMS
Safety performance targets

• Maintain 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 Plans

• Training course for drivers / installation of
  specific signage.
• Thrice-daily walk-in ramp inspection programme.

Safety performance indicators

• 20 events of unauthorized vehicles on the
  taxiways per 10,000 operations.
• 15 FOD events on the apron per 10,000 operations.
• ...

Service provider
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
State Safety Programme (SSP)
Objective Safety risk management
Service delivery
Objective Support production goals and customer
satisfaction
Organizations Safety Management system (SMS)
Objective Safety risk management
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In 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 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?)
Realistic implementation
Safety management
Performance based
ICAO SARPS
Prescriptive
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In summary
Prescription
Performance
2.1 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 safety
performance The State has agreed with individual
service providers on the safety performance of
their SMS. 3.2 Safety data collection, analysis
and exchange The State has established
mechanisms to ensure the capture and storage of
data on hazards and safety risks at both an
individual and aggregate States level. 3.3
Safety data driven targeting of oversight on
areas of greater concern or need The 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.
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In summary
Safety performance targets

• Maintain 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 plans

• Training course for drivers / installation of
  specific signage.
• Thrice-daily walk-in ramp inspection programme.

Performance
Safety performance indicators

• 20 events of unauthorized vehicles on the
  taxiways per 10,000 operations.
• 15 FOD events on the apron per 10,000 operations.
• ...

Service provider
Will comply all applicable national and
international standards.
Prescription
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Questions and answers

• SMS regulation

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Questions and answers

• Q What are the main responsibilities in a
  State safety programme (SSP)?
• A
• Safety regulation
• Accident/incident investigation
• Safety assurance
• Mandatory/voluntary reporting systems
• Safety data analysis and exchange
• Safety promotion

Slide number 7
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Questions 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
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Points to remember

• SSP
• SMS
• Acceptable of level of safety (ALoS)
• Safety performance of the SMS
• Management accountability
• Prescription vs. Performance

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Module N 6 SMSregulation