ICAO Harmonized Safety Management Requirements The Safety Concern

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ICAO HarmonizedSafety Management Requirements
The Safety Concern

• Captain Daniel Maurino
• Flight Safety and Human Factors, ICAO
• ASPA/ICAO CAR/SAM Regional Seminar
• on Safety Management Systems (SMS)
• Mexico City, 14 to 16 March 2005

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The Big Picture
ICAO harmonized safety management requirements

• Annex 6 Operation of Aircraft
• Part I
• Part 3
• Annex 11 Air Traffic Services
• Annex 14 Aerodromes
• Three distinct blocks within each Annex

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As of 23 November 2006

• States shall establish a safety programme, in
  order to achieve an acceptable level of safety
  in
• The operation of aircraft Annex 6, Parts I and
  III
• The maintenance of aircraft Annex 6, Part I
• The provision of air traffic services Annex 11
• Aerodrome operations Annex 14

• The acceptable level of safety to be achieved
  shall be established by the State (s) concerned

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Two Definitions

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

• Acceptable level of safety Articulates the high
  level safety management goals of an oversight
  authority or a service provider
• Minimum safety objectives acceptable of authority
  that service providers should achieve while
  conducting their core business functions
• A reference against which the oversight authority
  can measure safety performance

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As of 23 November 2006

• States shall require, as part of their safety
  programme, that an operator, maintenance
  organization, ATS provider, aerodrome operator
  implements a safety management system accepted by
  the State that, as a minimum

• Identifies safety hazards
• Ensures that remedial action necessary to
  maintain an acceptable level of safety is
  implemented
• Provides for continuous monitoring and regular
  assessment of the safety level achieved

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Another Definition

• Safety management system A systemic approach to
  managing safety, including the necessary
  organizational structures, accountabilities,
  policies and procedures

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As of 23 November 2006

• An accepted safety management system shall
  clearly define lines of safety accountability
  throughout the operator, maintenance
  organization, ATS provider, aerodrome operator
  organization, including direct accountability for
  safety on the part of senior management
• Guidance on safety management systems is
  contained in the ICAO Safety Management Manual
  (Doc 9859)

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Acceptable Level of Safety

• From prescription to performance
• Does not relieve States/providers from
  obligations regarding the Convention or national
  regulations
• Negotiated between authority and service
  provider
• Commensurate with complexity of context and
  available resources
• Implemented through
• Safety indicators
• Safety targets
• Safety requirements

• specific to a safety programme or SMS

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Strategic Objectives of ICAO for 2005-2010
Strategic Objective A Safety Enhance global
aviation safety

• Harmonization of safety management provisions
• Annexes 6, 11 and 14 completed
• All other Annexes in progress (Annexes 8, 13
  18?) ETA 2007
• PANS PANS/ATM about to take off ETA TBC
• ICAO SMM (Doc 9859) completed
• Series of ICAO SMS training courses almost there
• SMS model regulation in progress ETA 2007
• SMS for small organizations in progress ETA
  2007

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The Safety Concern Prologue
What is the safety concern(s) in aviation for
which the ICAO Harmonized safety management
requirements requirements might provide an answer?
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An Imperfect System
Practical Drift
Baseline (ideal) performance
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Aviation The First Ultra-Safe Industrial System

• Fragile system (1920s -1970s)
• Individual risk management intensive training
• Accident investigation

10-3

• Safe system (1970s mid 1990s)
• Technology regulations
• Incident investigation

10-5

• Ultra-safe system (mid 1990s onwards)
• Business management approach to safety (SMS)
• Routine collection and analysis of operational
  data

10-7

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Safety Data to Inform Risk Management Decisions
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