Module NModule N° 6 – SMS° 6 – SMSregulationregulation
Safety Management Systems (SMS) CourseSafety Management Systems (SMS) Course
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 2
Building an SMS
Module 6SMS regulation
Module 7Introduction to SMS
Module 8SMS planning
Module 9SMS operation
Module10 Phased approach to SMS
implementation
Module 1SMS course introduction
Module 2Basic safety concepts
Module 3Introduction to safety
management
Module 4Hazards
Module 5Risks
Module 6SMS regulation
Module 7Introduction to SMS
Module 8SMS planning
Module 9SMS operation
Module10 Phased approach to SMS
implementation
SafetySafety
ManagementManagement
SystemSystem
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 3
Objective
At the end of this module participants will be able to At the end of this module participants will be able to
describe the safety management requirements included describe the safety management requirements included
in Annexes 6, 11 and 14, including the relationship in Annexes 6, 11 and 14, including the relationship
between a safety programme and an SMS.between a safety programme and an SMS.
At the end of this module participants will be able to At the end of this module participants will be able to
describe the safety management requirements included describe the safety management requirements included
in Annexes 6, 11 and 14, including the relationship in Annexes 6, 11 and 14, including the relationship
between a safety programme and an SMS.between a safety programme and an SMS.
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 4
Outline
AGA ( Aerodromes, air routes and ground aids ), ATS and OPS/AMO safety management
What is a safety programme? What is an SMS?Acceptable level of safetyAcceptable level of safety – Implementation, scope and Acceptable level of safety – Implementation, scope and
legal considerationslegal considerationsProtection of sources of safety informationProtection of sources of safety informationQuestion and answersQuestion and answersPoints to remember
AGA ( Aerodromes, air routes and ground aids ), ATS and OPS/AMO safety management
What is a safety programme? What is an SMS?Acceptable level of safetyAcceptable level of safety – Implementation, scope and Acceptable level of safety – Implementation, scope and
legal considerationslegal considerationsProtection of sources of safety informationProtection of sources of safety informationQuestion and answersQuestion and answersPoints to remember
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 5
The big picture
ICAO safety management requirementsICAO safety management requirements
Operation of aircraftOperation of aircraft
Maintenance of aircraftMaintenance of aircraft
Air traffic services Air traffic services
AerodromesAerodromes
Two audience groupsTwo audience groups
Three “chunks”Three “chunks”
ICAO safety management requirementsICAO safety management requirements
Operation of aircraftOperation of aircraft
Maintenance of aircraftMaintenance of aircraft
Air traffic services Air traffic services
AerodromesAerodromes
Two audience groupsTwo audience groups
Three “chunks”Three “chunks”
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 6
As of 23 November 20061
States shall establish a States shall establish a safety programmesafety programme, in order to , in order to achieve an achieve an acceptable level of safetyacceptable level of safety in: in:The operation of aircraft The operation of aircraft The maintenance of aircraft The maintenance of aircraft The provision of air traffic services The provision of air traffic services Aerodrome operationsAerodrome operations
The acceptable level of safety to be achieved shall be The acceptable level of safety to be achieved shall be established by the State (s) concernedestablished by the State (s) concerned
States shall establish a States shall establish a safety programmesafety programme, in order to , in order to achieve an achieve an acceptable level of safetyacceptable level of safety in: in:The operation of aircraft The operation of aircraft The maintenance of aircraft The maintenance of aircraft The provision of air traffic services The provision of air traffic services Aerodrome operationsAerodrome operations
The acceptable level of safety to be achieved shall be The acceptable level of safety to be achieved shall be established by the State (s) concernedestablished by the State (s) concerned
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 7
What is a safety programme?
An integrated set of regulations and activities aimed at An integrated set of regulations and activities aimed at improving safety.improving safety.
States are responsible for establishing a safety States are responsible for establishing a safety programme:programme:Safety regulationSafety regulationSafety oversightSafety oversightAccident/incident investigationAccident/incident investigationMandatory/voluntary reporting systemsMandatory/voluntary reporting systemsSafety data analysisSafety data analysisSafety promotionSafety promotion……
An integrated set of regulations and activities aimed at An integrated set of regulations and activities aimed at improving safety.improving safety.
States are responsible for establishing a safety States are responsible for establishing a safety programme:programme:Safety regulationSafety regulationSafety oversightSafety oversightAccident/incident investigationAccident/incident investigationMandatory/voluntary reporting systemsMandatory/voluntary reporting systemsSafety data analysisSafety data analysisSafety promotionSafety promotion……
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 8
Definitions
Acceptable level of safety – A conceptAcceptable level of safety – A concept
High level safety management goals of an oversight High level safety management goals of an oversight authority [or a service provider]authority [or a service provider]
Minimum safety performance that service providers Minimum safety performance that service providers should achieve while conducting their core business should achieve while conducting their core business functionsfunctions
A reference against which measuring safety A reference against which measuring safety performanceperformance
Acceptable level of safety – A conceptAcceptable level of safety – A concept
High level safety management goals of an oversight High level safety management goals of an oversight authority [or a service provider]authority [or a service provider]
Minimum safety performance that service providers Minimum safety performance that service providers should achieve while conducting their core business should achieve while conducting their core business functionsfunctions
A reference against which measuring safety A reference against which measuring safety performanceperformance
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 9
As of 23 November 2006
States shall require, as part of their safety programme, that States shall require, as part of their safety programme, that an an [operator, maintenance organization, ATS, certified [operator, maintenance organization, ATS, certified
aerodrome operator]aerodrome operator] implements a implements a safety management system accepted by the State that, as accepted by the State that, as a minimum:a minimum: Identifies safety hazardsIdentifies safety hazards Ensures that remedial action necessary to maintain an Ensures that remedial action necessary to maintain an
acceptable level of safety is implemented acceptable level of safety is implemented Provides for continuous monitoring and regular Provides for continuous monitoring and regular
assessment of the safety level achievedassessment of the safety level achieved Aims to make continuous improvement to the overall Aims to make continuous improvement to the overall
level of safetylevel of safety
States shall require, as part of their safety programme, that States shall require, as part of their safety programme, that an an [operator, maintenance organization, ATS, certified [operator, maintenance organization, ATS, certified
aerodrome operator]aerodrome operator] implements a implements a safety management system accepted by the State that, as accepted by the State that, as a minimum:a minimum: Identifies safety hazardsIdentifies safety hazards Ensures that remedial action necessary to maintain an Ensures that remedial action necessary to maintain an
acceptable level of safety is implemented acceptable level of safety is implemented Provides for continuous monitoring and regular Provides for continuous monitoring and regular
assessment of the safety level achievedassessment of the safety level achieved Aims to make continuous improvement to the overall Aims to make continuous improvement to the overall
level of safetylevel of safety
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 10
What is an SMS?
An systematic approach to An systematic approach to managing safety, including managing safety, including i.necessary organizational i.necessary organizational structures, structures, ii.accountabilities,ii.accountabilities,iii. policies and procedures.iii. policies and procedures.
Providers are responsible for Providers are responsible for establishing an SMS.establishing an SMS.
States are responsible of the States are responsible of the acceptance and oversight of acceptance and oversight of providers’ SMS.providers’ SMS.
An systematic approach to An systematic approach to managing safety, including managing safety, including i.necessary organizational i.necessary organizational structures, structures, ii.accountabilities,ii.accountabilities,iii. policies and procedures.iii. policies and procedures.
Providers are responsible for Providers are responsible for establishing an SMS.establishing an SMS.
States are responsible of the States are responsible of the acceptance and oversight of acceptance and oversight of providers’ SMS.providers’ SMS.
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 11
Safety programme – SMS relationships
Statesafety
programme
Organization’ssafety
management system (SMS)
Organization’sproductionprocesses
Objective:Publicsafety
Objective:Manage and controlsafety risk
AcceptanceOversight
Objective:Achieve commercialgoals andcustomer satisfactionRisk management
Safety assurance
Protection Production
Oversight
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 12
As of 23 November 2006
An accepted safety management system shall clearly An accepted safety management system shall clearly define define lines of safety accountabilitylines of safety accountability throughout the throughout the [airline, maintenance, ATS provider, aerodrome [airline, maintenance, ATS provider, aerodrome operator] operator] organization, including organization, including direct accountability direct accountability for safety on the part of senior management.for safety on the part of senior management.
Note. – Guidance on safety management systems is Note. – Guidance on safety management systems is contained in the ICAO Safety Management Manual contained in the ICAO Safety Management Manual (Doc 9859).(Doc 9859).
(Accountability – Obligation or willingness to account for (Accountability – Obligation or willingness to account for one’s actions) one’s actions)
An accepted safety management system shall clearly An accepted safety management system shall clearly define define lines of safety accountabilitylines of safety accountability throughout the throughout the [airline, maintenance, ATS provider, aerodrome [airline, maintenance, ATS provider, aerodrome operator] operator] organization, including organization, including direct accountability direct accountability for safety on the part of senior management.for safety on the part of senior management.
Note. – Guidance on safety management systems is Note. – Guidance on safety management systems is contained in the ICAO Safety Management Manual contained in the ICAO Safety Management Manual (Doc 9859).(Doc 9859).
(Accountability – Obligation or willingness to account for (Accountability – Obligation or willingness to account for one’s actions) one’s actions)
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 13
Acceptable level of safety
ImplementationImplementation The concept of acceptable level of safety is
expressed in practical terms by two measures or metrics:safety performancesafety performance indicatorsindicatorssafety performance targetssafety performance targets
It is delivered through various tools and means:safety requirementssafety requirements. ……
ImplementationImplementation The concept of acceptable level of safety is
expressed in practical terms by two measures or metrics:safety performancesafety performance indicatorsindicatorssafety performance targetssafety performance targets
It is delivered through various tools and means:safety requirementssafety requirements. ……
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 14
Acceptable level of safety
… … ImplementationImplementation The relationship between acceptable level of safety,
safety performance indicators, safety performance targets and safety requirements is as follows: a) acceptable level of safetyacceptable level of safety is the overarching
concept; b) safety performance indicatorssafety performance indicators and safety safety
performance targetsperformance targets are the measures or metrics to determine if the acceptable level of safety has been achieved; and
c) safety requirementssafety requirements are the tools or means to achieve the safety indicators and safety targets.
… … ImplementationImplementation The relationship between acceptable level of safety,
safety performance indicators, safety performance targets and safety requirements is as follows: a) acceptable level of safetyacceptable level of safety is the overarching
concept; b) safety performance indicatorssafety performance indicators and safety safety
performance targetsperformance targets are the measures or metrics to determine if the acceptable level of safety has been achieved; and
c) safety requirementssafety requirements are the tools or means to achieve the safety indicators and safety targets.
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 15
Acceptable level of safety
… … ImplementationImplementation
The safety indicatorssafety indicators of an acceptable level of safety should be uncomplicated and linked to major components of a State safety programme, or an operator/services provider SMS.
They are generally expressed in numerical terms. An example of a safety indicator is 0.2 fatal accidents
per 100 000 hours for airline operators.
… … ImplementationImplementation
The safety indicatorssafety indicators of an acceptable level of safety should be uncomplicated and linked to major components of a State safety programme, or an operator/services provider SMS.
They are generally expressed in numerical terms. An example of a safety indicator is 0.2 fatal accidents
per 100 000 hours for airline operators.
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 16
Acceptable level of safety
… … ImplementationImplementation The safety targetssafety targets of an acceptable level of safety should
be determined weighing what is desirable and what is realistic for individual operator/services providers.
Safety targets should be measurable, acceptable to stakeholders, and consistent with the State safety programme.
An example of a safety target is 40% reduction by the end of the next five-year period over the last five-year average of 0.2 fatal accidents per 100 000 hours for airline operators.
… … ImplementationImplementation The safety targetssafety targets of an acceptable level of safety should
be determined weighing what is desirable and what is realistic for individual operator/services providers.
Safety targets should be measurable, acceptable to stakeholders, and consistent with the State safety programme.
An example of a safety target is 40% reduction by the end of the next five-year period over the last five-year average of 0.2 fatal accidents per 100 000 hours for airline operators.
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 17
Acceptable level of safety
… … ImplementationImplementation Safety indicatorsindicators and safety targetstargets may bemay be differentdifferent
(for example, the safety indicator is 0.2 fatal accidents per 100 000 hours for airline operators, and the safety target is 40% reduction over the 0.2 fatal accident rate per 100 000 hours for airline operations), or may be the may be the samesame (for example, the safety indicator is 0.2 fatal accidents per 100 000 hours for airline operators, and the safety target is to maintain 0.2 fatal accidents per 100 000 hours for airline operators).
… … ImplementationImplementation Safety indicatorsindicators and safety targetstargets may bemay be differentdifferent
(for example, the safety indicator is 0.2 fatal accidents per 100 000 hours for airline operators, and the safety target is 40% reduction over the 0.2 fatal accident rate per 100 000 hours for airline operations), or may be the may be the samesame (for example, the safety indicator is 0.2 fatal accidents per 100 000 hours for airline operators, and the safety target is to maintain 0.2 fatal accidents per 100 000 hours for airline operators).
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 18
Acceptable level of safety
… … ImplementationImplementation
An acceptable level of safetyacceptable level of safety will always be expressed by a number of safety indicatorsnumber of safety indicators and
safety targetssafety targets, never by a single onenever by a single one.
… … ImplementationImplementation
An acceptable level of safetyacceptable level of safety will always be expressed by a number of safety indicatorsnumber of safety indicators and
safety targetssafety targets, never by a single onenever by a single one.
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 19
Acceptable level of safety
… … ImplementationImplementation The safety requirementssafety requirements to achieve the safety
targets and safety indicators of an acceptable level of safety should be expressed in terms of operational procedures, technology and systems, programmes, contingency arrangements and so forth, to which measures of reliability, availability and/or accuracy may be added. (for example: deployment of a radar system in the State’s three busiest airports within the next 12 months, with 98% availability of critical equipment)
… … ImplementationImplementation The safety requirementssafety requirements to achieve the safety
targets and safety indicators of an acceptable level of safety should be expressed in terms of operational procedures, technology and systems, programmes, contingency arrangements and so forth, to which measures of reliability, availability and/or accuracy may be added. (for example: deployment of a radar system in the State’s three busiest airports within the next 12 months, with 98% availability of critical equipment)
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 20
Acceptable level of safety
ScopeScope
There will seldom be a single or national acceptable
level of safety.
Most frequently, within each State, there will be
different acceptable levels of safety that will be
separately agreed between the oversight authority
and individual operators/services providers. ……
ScopeScope
There will seldom be a single or national acceptable
level of safety.
Most frequently, within each State, there will be
different acceptable levels of safety that will be
separately agreed between the oversight authority
and individual operators/services providers. ……
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 21
Acceptable level of safety
… … ScopeScopeEach agreed acceptable level of safety should be
commensurate to the complexity of individual operator/services provider specific operational contexts, and the level to which safety deficiencies can be accepted as function of: a) social tolerance; b) prioritization; and c) availability of operator/services provider
resources to address them.
… … ScopeScopeEach agreed acceptable level of safety should be
commensurate to the complexity of individual operator/services provider specific operational contexts, and the level to which safety deficiencies can be accepted as function of: a) social tolerance; b) prioritization; and c) availability of operator/services provider
resources to address them.
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 22
Acceptable level of safety
Legal considerations – States Legal considerations – States
Establishing acceptable level (s) of safety does not replace legal, regulatory, or other already established requirements, but it must support compliance with them.
Establishing acceptable level (s) of safety for their safety programme leaves unaffected the obligations of States, and does not relieve States from compliance with SARPs. ……
Legal considerations – States Legal considerations – States
Establishing acceptable level (s) of safety does not replace legal, regulatory, or other already established requirements, but it must support compliance with them.
Establishing acceptable level (s) of safety for their safety programme leaves unaffected the obligations of States, and does not relieve States from compliance with SARPs. ……
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 23
Acceptable level of safety
… … Legal considerations – Operators and service Legal considerations – Operators and service providersprovidersEstablishing acceptable level (s) of safety for their
safety management system leaves unaffected the obligations of operators or services providers and other related parties, and it does not relieve the operator, services providers and other related parties from compliance with SARPs and/or national regulations, as applicable.
… … Legal considerations – Operators and service Legal considerations – Operators and service providersprovidersEstablishing acceptable level (s) of safety for their
safety management system leaves unaffected the obligations of operators or services providers and other related parties, and it does not relieve the operator, services providers and other related parties from compliance with SARPs and/or national regulations, as applicable.
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 24
Protecting sources of safety information
Assembly Resolution A35/17Legal guidance developed in Annex 13, Attachment ESafety information must not be used for purposes
different from the purposes for which it was collected.Introduction and definitionsGeneral principlesPrinciples of protectionPrinciples of exceptionsResponsibilities of the custodian of safety
informationProtection of recorded information
Assembly Resolution A35/17Legal guidance developed in Annex 13, Attachment ESafety information must not be used for purposes
different from the purposes for which it was collected.Introduction and definitionsGeneral principlesPrinciples of protectionPrinciples of exceptionsResponsibilities of the custodian of safety
informationProtection of recorded information
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 25
Why ICAO safety management provisions?
A move from prescription to performance
Prescriptive regulations – Prescribe what the safety requirements are and how they are to be met.
Performance based regulations – Specify the safety requirements to be met, but provide flexibility in terms of how safety requirements are met.
A move from prescription to performance
Prescriptive regulations – Prescribe what the safety requirements are and how they are to be met.
Performance based regulations – Specify the safety requirements to be met, but provide flexibility in terms of how safety requirements are met.
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 27
Q&A
Q:Q: What is a safety programme, and what are its main What is a safety programme, and what are its main components?components?
A:A: ? ?
Q:Q: What is a safety programme, and what are its main What is a safety programme, and what are its main components?components?
A:A: ? ?
Slide number: 7
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 28
Q&A
Q: Q: What is a safety management system? What is a safety management system?
A: ?A: ?
Q: Q: What is a safety management system? What is a safety management system?
A: ?A: ?
Slide number: 10
Module NModule N° 6° 6 ICAO Safety Management Systems (SMS) Course 29
Points to remember
1.1. Standardised SMS provisions – Prescription vs. Standardised SMS provisions – Prescription vs. performance.performance.
2.2. Safety programme.Safety programme.3.3. SMS.SMS.4.4. Acceptable of level of safety.Acceptable of level of safety.
a)a) Safety performance indicators.Safety performance indicators.b)b) Safety performance targets.Safety performance targets.c)c) Safety requirements.Safety requirements.
5.5. The need to protect the source of informationThe need to protect the source of information
References: Annexes 6, 11, 13 and14, and Doc 9859, References: Annexes 6, 11, 13 and14, and Doc 9859, Chapter 3Chapter 3
1.1. Standardised SMS provisions – Prescription vs. Standardised SMS provisions – Prescription vs. performance.performance.
2.2. Safety programme.Safety programme.3.3. SMS.SMS.4.4. Acceptable of level of safety.Acceptable of level of safety.
a)a) Safety performance indicators.Safety performance indicators.b)b) Safety performance targets.Safety performance targets.c)c) Safety requirements.Safety requirements.
5.5. The need to protect the source of informationThe need to protect the source of information
References: Annexes 6, 11, 13 and14, and Doc 9859, References: Annexes 6, 11, 13 and14, and Doc 9859, Chapter 3Chapter 3
Module NModule N° 6 – SMS° 6 – SMSregulationregulation
Safety Management Systems (SMS) CourseSafety Management Systems (SMS) Course