ICAO HarmonizedICAO HarmonizedSafety Management Requirements – Safety Management Requirements –

The Safety ConcernThe Safety Concern

Captain Daniel MaurinoCaptain Daniel Maurino Flight Safety and Human Factors, ICAOFlight Safety and Human Factors, ICAOASPA/ICAO CAR/SAM Regional Seminar ASPA/ICAO CAR/SAM Regional Seminar

on Safety Management Systems (SMS)on Safety Management Systems (SMS)Mexico City, 14 to 16 March 2005Mexico City, 14 to 16 March 2005

The Big PictureThe Big Picture

Annex 6 – Operation of AircraftAnnex 6 – Operation of AircraftPart I Part I Part 3Part 3

Annex 11 – Air Traffic Services Annex 11 – Air Traffic Services Annex 14 – AerodromesAnnex 14 – Aerodromes Three distinct blocks within each AnnexThree distinct blocks within each Annex

ICAO harmonized safety management requirementsICAO harmonized safety management requirements

As of 23 November 2006As of 23 November 2006StatesStates shall establish a 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 – Annex 6, Parts I and III The operation of aircraft – Annex 6, Parts I and III The maintenance of aircraft – Annex 6, Part I The maintenance of aircraft – Annex 6, Part I The provision of air traffic services – Annex 11 The provision of air traffic services – Annex 11 Aerodrome operations – Annex 14Aerodrome operations – Annex 14

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

Two DefinitionsTwo DefinitionsSafety programmeSafety programme – An integrated set of regulations and – An integrated set of regulations and

activities aimed at improving safetyactivities aimed at improving safety

Acceptable level of safetyAcceptable level of safety – Articulates– Articulates the hthe high level igh level safety management goals of an oversight safety management goals of an oversight

authority or authority or a service providera service providerMinimum safety objectives acceptable of authority that Minimum safety objectives acceptable of authority that service providers should achieve while conducting service providers should achieve while conducting

their core business functionstheir core business functionsA reference against which the oversight authority can A reference against which the oversight authority can

measure safety performancemeasure safety performance

As of 23 November 2006As of 23 November 2006StatesStates shall require, as part of their safety programme, that shall require, as part of their safety programme, that

an an [[operator, maintenance organization, ATS provider, operator, maintenance organization, ATS provider, aerodrome operatoraerodrome operator]] implements a implements a safety management safety management systemsystem acceptedaccepted by the State that, as a minimum by the State that, as 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

Another DefinitionAnother DefinitionSafety management systemSafety management system – A systemic approach to – A systemic approach to

managing safety, including the necessary managing safety, including the necessary organizational structures, accountabilities, policies organizational structures, accountabilities, policies and proceduresand procedures

As of 23 November 2006As of 23 November 2006An accepted safety management system shall clearly define An accepted safety management system shall clearly define

lines of safety accountabilitylines of safety accountability throughout the throughout the [operator, [operator, maintenance organization, ATS provider, aerodrome maintenance organization, ATS provider, aerodrome operator] operator] organization, including organization, including direct accountability for direct accountability for safety on the part of senior managementsafety on the part of senior management

Guidance on safety management systems is contained Guidance on safety management systems is contained in the ICAO Safety Management Manual (Doc 9859)in the ICAO Safety Management Manual (Doc 9859)

Acceptable Level of SafetyAcceptable Level of SafetyFrom prescription to performanceFrom prescription to performance Does not relieve States/providers from obligations regarding Does not relieve States/providers from obligations regarding

the Convention or national regulationsthe Convention or national regulations ““Negotiated” between authority and service providerNegotiated” between authority and service provider Commensurate with complexity of context and available Commensurate with complexity of context and available

resourcesresources Implemented throughImplemented through

Safety indicatorsSafety indicatorsSafety targetsSafety targetsSafety requirementsSafety requirements

specific to a safety programme or SMSspecific to a safety programme or SMS

Strategic Objectives of ICAO for 2005-2010Strategic Objectives of ICAO for 2005-2010

Harmonization of safety management provisionsHarmonization of safety management provisions Annexes 6, 11 and 14: Annexes 6, 11 and 14: completedcompleted All other Annexes: All other Annexes: in progress (Annexes 8, 13 & in progress (Annexes 8, 13 &

18?) – ETA 200718?) – ETA 2007 PANS: PANS: PANS/ATM about to take off – ETA TBCPANS/ATM about to take off – ETA TBC ICAO SMM (Doc 9859): ICAO SMM (Doc 9859): completedcompleted

Series of ICAO SMS training courses: Series of ICAO SMS training courses: almost therealmost there SMS model regulation: SMS model regulation: in progress – ETA 2007in progress – ETA 2007 SMS for small organizations: in progress – ETA 2007SMS for small organizations: in progress – ETA 2007

Strategic Objective A: Safety – Strategic Objective A: Safety – Enhance global aviation Enhance global aviation safetysafety

What is the What is the safety concern(s)safety concern(s) in aviation for which in aviation for which the ICAO Harmonized safety management the ICAO Harmonized safety management requirements requirements might provide anrequirements requirements might provide an answeranswer??

The Safety Concern – PrologueThe Safety Concern – Prologue

System System designdesign

Baseline (ideal) performanceBaseline (ideal) performance

BaselineBaselineperformanceperformance

OperationalOperationalperformanceperformance

““PracticalPracticalDrift”Drift”

OperationalOperationaldeploymentdeployment

An Imperfect SystemAn Imperfect System

Aviation: The First Ultra-Safe Industrial SystemAviation: The First Ultra-Safe Industrial System

Ultra-safe system (mid 1990’s onwards)Ultra-safe system (mid 1990’s onwards)Business management approach to Business management approach to

safety (SMS)safety (SMS)Routine collection and analysis of Routine collection and analysis of

operational data operational data

1010-3-3

1010-5-5

1010-7-7

Fragile system (1920’s -1970’s)Fragile system (1920’s -1970’s)Individual risk management & intensive trainingIndividual risk management & intensive trainingAccident investigationAccident investigation

Safe system (1970’s – mid 1990’s)Safe system (1970’s – mid 1990’s)Technology & regulationsTechnology & regulationsIncident investigation Incident investigation

Safety Data to Inform Risk Management Decisions

Safety Data to Inform Risk Management Decisions