Session No. 3Session No. 3ICAO Safety Management StandardsICAO Safety Management Standards

ICAO SMS FrameworkICAO SMS Framework

SMS Senior Management WorkshopSMS Senior Management WorkshopRome, 21 May 2007Rome, 21 May 2007

The Big PictureThe Big PictureTwo audience groupsTwo audience groups

StatesStatesService providersService providers

Three distinct requirementsThree distinct requirementsSafety programmeSafety programmeSMSSMS Management accountabilityManagement accountability

Two audience groupsTwo audience groupsStatesStatesService providersService providers

Three distinct requirementsThree distinct requirementsSafety programmeSafety programmeSMSSMS Management accountabilityManagement accountability

As of 23 November 2006As of 23 November 2006

States shall establish a States shall establish a safety programmesafety programme, in order , in order to achieve an acceptable level of safety in:to achieve an acceptable level of safety 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

States shall establish a States shall establish a safety programmesafety programme, in order , in order to achieve an acceptable level of safety in:to achieve an acceptable level of safety 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

What is a Safety ProgrammeWhat is a Safety Programme??

An integrated set of regulations and activities aimed at An integrated set of regulations and activities aimed at improving safetyimproving safetySafety 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 safetyimproving safetySafety regulationSafety regulationSafety oversightSafety oversightAccident/incident investigationAccident/incident investigationMandatory/voluntary reporting systemsMandatory/voluntary reporting systemsSafety data analysisSafety data analysisSafety promotionSafety promotion

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

that an that an [operator, maintenance organization, ATS [operator, maintenance organization, ATS provider, certified aerodrome operator]provider, certified aerodrome operator] implements a implements a safety management systemsafety management system accepted by the State that accepted by the State that Identifies safety hazardsIdentifies safety hazards Ensures that remedial action necessary to maintain Ensures that remedial action necessary to maintain

an acceptable level of safety is implemented an 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 Aims to make continuous improvement to the

overall level of safetyoverall level of safety

States shall require, as part of their safety programme, States shall require, as part of their safety programme, that an that an [operator, maintenance organization, ATS [operator, maintenance organization, ATS provider, certified aerodrome operator]provider, certified aerodrome operator] implements a implements a safety management systemsafety management system accepted by the State that accepted by the State that Identifies safety hazardsIdentifies safety hazards Ensures that remedial action necessary to maintain Ensures that remedial action necessary to maintain

an acceptable level of safety is implemented an 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 Aims to make continuous improvement to the

overall level of safetyoverall level of safety

What is an SMS?What is an SMS?A systematic approach to A systematic approach to

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

Providers are responsible for Providers are responsible for establishing an SMSestablishing an SMS

States are responsible of the States are responsible of the acceptance and oversight for acceptance and oversight for providers’ SMSproviders’ SMS

A systematic approach to A systematic approach to managing safety, including managing safety, including the necessary organizational the necessary organizational structures, accountabilities, structures, accountabilities, policies and procedurespolicies and procedures

Providers are responsible for Providers are responsible for establishing an SMSestablishing an SMS

States are responsible of the States are responsible of the acceptance and oversight for acceptance and oversight for providers’ SMSproviders’ SMS

Safety Programme – SMS RelationshipsSafety 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

As of 23 November 2006As of 23 November 2006

An accepted safety management system shall An accepted safety management system shall clearly define clearly define lines of safety accountabilitylines of safety accountability throughout the throughout the [airline, maintenance, ATS [airline, maintenance, ATS provider, certified aerodrome operator] provider, certified aerodrome operator] organization, including organization, including directdirect accountabilityaccountability for for safety on the part of senior managementsafety on the part of senior managementNote. – Guidance on safety management systems Note. – Guidance on safety management systems is contained in the ICAO Safety Management is contained in the ICAO Safety Management Manual (Doc 9859)Manual (Doc 9859)

An accepted safety management system shall An accepted safety management system shall clearly define clearly define lines of safety accountabilitylines of safety accountability throughout the throughout the [airline, maintenance, ATS [airline, maintenance, ATS provider, certified aerodrome operator] provider, certified aerodrome operator] organization, including organization, including directdirect accountabilityaccountability for for safety on the part of senior managementsafety on the part of senior managementNote. – Guidance on safety management systems Note. – Guidance on safety management systems is contained in the ICAO Safety Management is contained in the ICAO Safety Management Manual (Doc 9859)Manual (Doc 9859)

Acceptable Level of SafetyAcceptable Level of SafetyThe acceptable level of safety to be achieved shall The acceptable level of safety to be achieved shall

be established by the State (s) concernedbe established by the State (s) concernedExpressed in practical terms by two measures or Expressed in practical terms by two measures or

metricsmetricsSafety performance indicatorsSafety performance indicatorsSafety performance targets Safety performance targets

Delivered through various tools and meansDelivered through various tools and meansSafety requirementsSafety requirements

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

Expressed in practical terms by two measures or Expressed in practical terms by two measures or metricsmetrics

Safety performance indicatorsSafety performance indicatorsSafety performance targets Safety performance targets

Delivered through various tools and meansDelivered through various tools and meansSafety requirementsSafety requirements

Acceptable Level of SafetyAcceptable Level of SafetySafety indicatorsSafety indicators – Established objectives of a safety programme or an SMS

No more than 0.8 Cat A and B (most serious) runway incursions per million operations through 2009

Safety targets Safety targets – – Medium or long-term objectives of a safety programme or an SMS

By 2010 reduce Cat A and B (most serious) runway incursions to a rate of not more than 0.5 per million operations

May be different or the same

Safety indicatorsSafety indicators – Established objectives of a safety programme or an SMS

No more than 0.8 Cat A and B (most serious) runway incursions per million operations through 2009

Safety targets Safety targets – – Medium or long-term objectives of a safety programme or an SMS

By 2010 reduce Cat A and B (most serious) runway incursions to a rate of not more than 0.5 per million operations

May be different or the same

Acceptable Level of SafetyAcceptable Level of SafetySafety requirements – Operational procedures,

technology and systems, programmes, and contingency arrangementsMeasures of reliability, availability and/or accuracy

may be addedInstall Airport Surface Detection Equipment-Model XV (ASDE-XV) at (three busiest airports) within the next 12 months, with 98% annual availability

Safety requirements – Operational procedures, technology and systems, programmes, and

contingency arrangementsMeasures of reliability, availability and/or accuracy

may be addedInstall Airport Surface Detection Equipment-Model XV (ASDE-XV) at (three busiest airports) within the next 12 months, with 98% annual availability

Acceptable Level of SafetyAcceptable Level of SafetyThere will seldom be a single or national There will seldom be a single or national acceptable acceptable level of safetylevel of safetyDifferent acceptable levels of safety will be Different acceptable levels of safety will be separately agreed between the oversight authority separately agreed between the oversight authority

and individual service providersand individual service providersEach agreed acceptable level of safety should be Each agreed acceptable level of safety should be

commensurate to the complexity of individual commensurate to the complexity of individual service provider specific operational contextservice provider specific operational context

availability of operator/services provider availability of operator/services provider resourcesresources

There will seldom be a single or national There will seldom be a single or national acceptable acceptable level of safetylevel of safetyDifferent acceptable levels of safety will be Different acceptable levels of safety will be separately agreed between the oversight authority separately agreed between the oversight authority

and individual service providersand individual service providersEach agreed acceptable level of safety should be Each agreed acceptable level of safety should be

commensurate to the complexity of individual commensurate to the complexity of individual service provider specific operational contextservice provider specific operational context

availability of operator/services provider availability of operator/services provider resourcesresources

Acceptable Level of SafetyAcceptable Level of Safety

Legal considerationsEstablishing 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 considerationsEstablishing 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

Safety policy and objectivesSafety policy and objectives1.1 – Management commitment and responsibility1.1 – Management commitment and responsibility 1.2 – Safety accountabilities of managers1.2 – Safety accountabilities of managers1.3 – Appointment of key safety personnel 1.3 – Appointment of key safety personnel 1.4 – SMS implementation plan1.4 – SMS implementation plan1.5 – Coordination of the emergency response plan 1.5 – Coordination of the emergency response plan 1.6 – Documentation1.6 – Documentation

Safety risk managementSafety risk management2.1 – Hazard identification processes2.1 – Hazard identification processes2.2 – Risk assessment and mitigation processes2.2 – Risk assessment and mitigation processes2.3 – Internal safety investigations2.3 – Internal safety investigations

Safety assuranceSafety assurance3.1 – Safety performance monitoring and measurement3.1 – Safety performance monitoring and measurement3.2 – The management of change3.2 – The management of change3.3 – Continuous improvement of the safety system3.3 – Continuous improvement of the safety system

Safety promotionSafety promotion4.1 – Training and education4.1 – Training and education4.2 – Safety communication4.2 – Safety communication

ICAO SMS FRAMEWORKICAO SMS FRAMEWORK

14

Safety Policy and ObjectivesSafety Policy and Objectives

1.1 – Management commitment and responsibility 1.1 – Management commitment and responsibility Identify the accountable executive

Single, identifiable personFull responsibility for the organization’s SMS

CEO/Chairman Board of DirectorsA partnerThe proprietor

Develop and communicate, with visible endorsement, the safety policy, signed by the accountable executive

1.1 – Management commitment and responsibility 1.1 – Management commitment and responsibility Identify the accountable executive

Single, identifiable personFull responsibility for the organization’s SMS

CEO/Chairman Board of DirectorsA partnerThe proprietor

Develop and communicate, with visible endorsement, the safety policy, signed by the accountable executive

1.2 – Safety Accountabilities 1.2 – Safety Accountabilities

Accountable executive

Flight safety officer

Maintenance safety officer

Safety Action Group (s)

(SAG)

Safety Review Board (SRB)

Director of operations

Director of maintenance

Other directorates

Safety services office

1.3 – Appointment of key safety personnelThe safety office – Corporate functions

Advising senior management on safety matters

Assisting line managersOverseeing hazard identification systems

The safety managerResponsible individual and focal point for the

development and maintenance of an effective safety management system

1.3 – Appointment of key safety personnelThe safety office – Corporate functions

Advising senior management on safety matters

Assisting line managersOverseeing hazard identification systems

The safety managerResponsible individual and focal point for the

development and maintenance of an effective safety management system

Safety Policy and ObjectivesSafety Policy and Objectives

1.4 – SMS implementation plan1.4 – SMS implementation plan Developed by a planning group, which:Developed by a planning group, which:

Comprises an appropriate experience base.Comprises an appropriate experience base.Meets regularly with senior management.Meets regularly with senior management.Receives resources (including time for meetings)Receives resources (including time for meetings)

A realistic implementation strategy for the SMSA realistic implementation strategy for the SMS Senior management endorses the planSenior management endorses the plan Typical implementation time frame: one to four Typical implementation time frame: one to four

years (Phased approach)years (Phased approach)

1.4 – SMS implementation plan1.4 – SMS implementation plan Developed by a planning group, which:Developed by a planning group, which:

Comprises an appropriate experience base.Comprises an appropriate experience base.Meets regularly with senior management.Meets regularly with senior management.Receives resources (including time for meetings)Receives resources (including time for meetings)

A realistic implementation strategy for the SMSA realistic implementation strategy for the SMS Senior management endorses the planSenior management endorses the plan Typical implementation time frame: one to four Typical implementation time frame: one to four

years (Phased approach)years (Phased approach)

Safety Policy and ObjectivesSafety Policy and Objectives

1.4 – SMS implementation plan – Contents 1.4 – SMS implementation plan – Contents 1) Safety policy2) Safety planning, objectives and goals3) System description4) Gap analysis5) SMS components6) Safety roles and responsibilities 7) Safety reporting policy 8) Means of employee involvement9) Safety communication10) Safety performance measurement11) Management review of the safety performance

1.4 – SMS implementation plan – Contents 1.4 – SMS implementation plan – Contents 1) Safety policy2) Safety planning, objectives and goals3) System description4) Gap analysis5) SMS components6) Safety roles and responsibilities 7) Safety reporting policy 8) Means of employee involvement9) Safety communication10) Safety performance measurement11) Management review of the safety performance

Safety Policy and ObjectivesSafety Policy and Objectives

1.6 – Documentation – Safety management system 1.6 – Documentation – Safety management system manual (SMSM)manual (SMSM)

Key instrument for communicating the organization’s approach to safety to the whole organization

Documents all aspects of the SMS, including the safety policy, objectives, procedures and individual safety accountabilities

1.6 – Documentation – Safety management system 1.6 – Documentation – Safety management system manual (SMSM)manual (SMSM)

Key instrument for communicating the organization’s approach to safety to the whole organization

Documents all aspects of the SMS, including the safety policy, objectives, procedures and individual safety accountabilities

Safety policy and objectivesSafety policy and objectives

Safety policy and objectivesSafety policy and objectives

1.1. Scope of the safety Scope of the safety management system management system

2.2. The safety policy and The safety policy and objectivesobjectives

3.3. Safety accountabilitiesSafety accountabilities4.4. Key safety personnelKey safety personnel5.5. Documentation control Documentation control

proceduresprocedures6.6. Hazard identification and Hazard identification and

risk management schemesrisk management schemes

1.1. Scope of the safety Scope of the safety management system management system

2.2. The safety policy and The safety policy and objectivesobjectives

3.3. Safety accountabilitiesSafety accountabilities4.4. Key safety personnelKey safety personnel5.5. Documentation control Documentation control

proceduresprocedures6.6. Hazard identification and Hazard identification and

risk management schemesrisk management schemes

7.7. Safety performance Safety performance monitoringmonitoring

8.8. Emergency response Emergency response planningplanning

9.9. Management of changeManagement of change10.10. Safety auditingSafety auditing11.11. Safety promotionSafety promotion12.12. Contracted activitiesContracted activities

7.7. Safety performance Safety performance monitoringmonitoring

8.8. Emergency response Emergency response planningplanning

9.9. Management of changeManagement of change10.10. Safety auditingSafety auditing11.11. Safety promotionSafety promotion12.12. Contracted activitiesContracted activities

1.6 – Documentation – SMSM1.6 – Documentation – SMSM contents contents

2.1 – Hazard identification processes2.1 – Hazard identification processes – – A formal means of collecting, recording, acting on and generating feedback about hazards in operationsReactiveProactivePredictive

2.2 – Risk assessment and mitigation processes2.2 – Risk assessment and mitigation processes –– The analysis and elimination, and/or mitigation to an acceptable level of risks that threaten the capabilities of an organization The risk tolerability matrix

2.1 – Hazard identification processes2.1 – Hazard identification processes – – A formal means of collecting, recording, acting on and generating feedback about hazards in operationsReactiveProactivePredictive

2.2 – Risk assessment and mitigation processes2.2 – Risk assessment and mitigation processes –– The analysis and elimination, and/or mitigation to an acceptable level of risks that threaten the capabilities of an organization The risk tolerability matrix

Safety Risk ManagementSafety Risk Management

3.1 – Safety performance monitoring and 3.1 – Safety performance monitoring and measurementmeasurement

The process by which the safety performance of the The process by which the safety performance of the organization is verified in comparison to the organization is verified in comparison to the approved safety policies and objectives.approved safety policies and objectives.Safety reportingSafety reportingSafety studiesSafety studiesSafety reviewsSafety reviewsAuditsAuditsSurveysSurveys…

3.1 – Safety performance monitoring and 3.1 – Safety performance monitoring and measurementmeasurement

The process by which the safety performance of the The process by which the safety performance of the organization is verified in comparison to the organization is verified in comparison to the approved safety policies and objectives.approved safety policies and objectives.Safety reportingSafety reportingSafety studiesSafety studiesSafety reviewsSafety reviewsAuditsAuditsSurveysSurveys…

Safety assuranceSafety assurance

3.2 – The management of change3.2 – The management of changeIdentify changes within the organization which may

affect established processes and servicesPrior to implementing changes describe the

arrangements to ensure safety performance3.3 – Continuous improvement of the safety system3.3 – Continuous improvement of the safety systemDetermining causes of below standard performance and

their implications in the operation of the SMSRectifying situations involving below standard

performance identified through safety assurance activities

3.2 – The management of change3.2 – The management of changeIdentify changes within the organization which may

affect established processes and servicesPrior to implementing changes describe the

arrangements to ensure safety performance3.3 – Continuous improvement of the safety system3.3 – Continuous improvement of the safety systemDetermining causes of below standard performance and

their implications in the operation of the SMSRectifying situations involving below standard

performance identified through safety assurance activities

Safety assuranceSafety assurance

4.1 – Training and education4.1 – Training and education – To e– To ensure that nsure that personnel are trained and competent to perform personnel are trained and competent to perform the SMS dutiesthe SMS duties

Who?Who?Operational personnelOperational personnelManagers and supervisors Managers and supervisors Senior managersSenior managersAccountable executiveAccountable executive

How much?How much?Appropriate to the individual’s involvement in Appropriate to the individual’s involvement in

the SMSthe SMS

4.1 – Training and education4.1 – Training and education – To e– To ensure that nsure that personnel are trained and competent to perform personnel are trained and competent to perform the SMS dutiesthe SMS duties

Who?Who?Operational personnelOperational personnelManagers and supervisors Managers and supervisors Senior managersSenior managersAccountable executiveAccountable executive

How much?How much?Appropriate to the individual’s involvement in Appropriate to the individual’s involvement in

the SMSthe SMS

Safety PromotionSafety Promotion

4.2 – Safety communication4.2 – Safety communicationAn essential foundation for the development and

maintenance of a positive culture The means to communicate may include

Safety policies and proceduresNews lettersBulletinsWebsite

4.2 – Safety communication4.2 – Safety communicationAn essential foundation for the development and

maintenance of a positive culture The means to communicate may include

Safety policies and proceduresNews lettersBulletinsWebsite

Safety PromotionSafety Promotion