sms regulatory framework - coscap-nacoscap-na.com/sites/default/files/sms briefing icao hq.pdf ·...
TRANSCRIPT
SMS Regulatory Framework
NARAST Meeting - Bangkok, 15 -17 January 2007
SMS regulatory framework
SMS – An Overview
What is an SMS?
• A systematic approach to
managing safety, including
the necessary
organizational structures,
accountabilities, policies and
procedures.
• Providers are responsible
for establishing an SMS.
• States are responsible of
the acceptance and
oversight of providers’ SMS
Building an SMS
Safety
Management
System
Safety
Management
System
Module 1
SMS course introduction
Module 3
Introduction to safety
management
Module 4
Hazards
Module 5
Risks
Module 6
SMS regulation
Module 7
Introduction to SMS
Module 8
SMS planning
Module 9
SMS operation
Module 10
Phased approach to SMS
implementation
Module 2
Basic safety concepts
Module 2
Basic safety concepts
Module 3
Introduction to safety
management
Module 4
Hazards
Module 5
Risks
Safety
Management
System
Module 6
SMS regulation
Module 7
Introduction to SMS
Module 8
SMS planning
Module 9
SMS operation
Module 10
Phased approach to SMS
implementation
Safety
Management
System
Safety
Management
System
Module 6
SMS regulation
Module 10
Phased approach to SMS
implementation
The big picture
• Operation of aircraft • Maintenance of aircraft • Air traffic services • Aerodromes
As of November 2006
• States shall require, as part of their safety programme, that an [operator, maintenance organization, ATS provider, certified 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
– Aims to make continuous improvement to the overall level of safety
As of 23 November
2006
• An accepted safety management system shall clearly
define lines of safety accountability throughout the
[airline, maintenance, ATS provider, certified
aerodrome operator] organization, including direct.
accountability for safety on the part of senior
management
Note. – Guidance on safety management systems is
contained in the ICAO Safety Management Manual
(Doc 9859).
(Accountability – Obligation or willingness to account
for one’s actions)
Safety policy and objectives 1.1 – Management commitment and responsibility
1.2 – Safety accountabilities of managers
1.3 – Appointment of key safety personnel
1.4 – SMS implementation plan
1.5 – Coordination of the emergency response plan
1.6 – Documentation
Safety risk management
2.1 – Hazard identification processes
2.2 – Risk assessment and mitigation processes
2.3 – Internal safety investigations
Safety assurance
3.1 – Safety performance monitoring and measurement
3.2 – The management of change
3.3 – Continuous improvement of the safety system
Safety promotion
4.1 – Training and education
4.2 – Safety communication
ICAO SMS FRAMEWORK
Why a phased
approach to SMS?
• To provide a manageable steps in implementing an SMS.
• To effectively manage the workload associated with SMS
implementation.
• To pre-empt a “ticking boxes” exercise.
• Four implementation phases are proposed.
• Each phase is based upon the introduction of specific
SMS elements.
Phase 1 (Operators)
• Provides a blueprint on how the SMS requirements
will be met and integrated in the organization’s work
activities.
• Provides an accountability framework for the
implementation of the SMS.
Phase 1 (Operators)
1. Identify the accountable executive and the safety accountabilities of managers.
2. Identify the person (or planning group) within the organization responsible for implementing the SMS.
3. Describe the system (Air operator, ATC services provider, approved maintenance organization, certified aerodrome operator)
4. Conduct a gap analysis of the organization’s existing resources compared with the national and international requirements for establishing an SM
6. Develop documentation relevant to safety policy and objectives
7. Develop and establish means for safety communication
Phase 2 (Operators)
• Puts into practice those elements of the SMS
implementation plan that refer to:
1. Safety risk management component.
– Reactive processes
– Investigation and analysis
– Hazard identification and risk management
Phase 2 (Operators)
2. Training relevant to:
– The SMS implementation plan components.
– The safety risk management component (Reactive processes).
Documentation relevant to:
– The SMS implementation plan components.
– The safety risk management component (Reactive processes).
Phase 3 (Operators)
• Puts into practice those elements of the SMS implementation plan that refer to:
1. Safety risk management component. – Proactive and predictive processes – Investigation and analysis – Hazard identification and risk management – Training relevant to proactive and predictive
processes – Documentation relevant to proactive and
predictive processes.
Phase 4 (Operators)
1. Operational safety assurance
– Development of acceptable level (s) of safety.
– Development of safety indicators and targets.
– SMS continuous improvement.
Training relevant to operational safety assurance.
– Documentation relevant to operational safety
assurance
CAAs – Four steps for
SMS implementation
STEP 1 • State’s safety programme
– Conduct a gap analysis vis-à-vis the current status in the State of the following:
• Safety regulation • Safety oversight (capabilities and planning) • Accident/incident investigation • Mandatory/voluntary/confidential reporting
systems • Safety data analysis • Safety promotion
– Develop the State safety programme around four components of the ICAO SMS framework.
STEP 2
• Implementation SMS SARPs:
– Develop SMS regulations for operators/service
providers.
• Refer to the SMS components and elements as
per the ICAO SMS training course.
– Prepare guidance material for the implementation
of SMS.
• Refer to ICAO Doc 9859 and the ICAO SMS
training course.
– Operators/service providers may need to use third
party assistance to implement their SMS.
CAAs – Four steps for
SMS implementation
STEP 3
• CAA training programme:
– Develop a training programme for CAA officers to:
• provide knowledge of safety management
concepts and ICAO SARPs on safety
management in Annexes 6, 11 and 14, and
related guidance material; and
• develop knowledge to certify and oversee the
implementation of key components of an SMS,
in compliance with the national regulations and
relevant ICAO SARPs.
CAAs – Four steps for
SMS implementation
STEP 4
• CAA enforcement policy:
– Revision of enforcement policy.
• Operators/service providers allowed to deal with
deviations/minor violations internally, within the
context of the SMS, to the satisfaction of the
authority.
• Gross negligence, willful deviation and so forth to
be dealt through established enforcement
procedures.
CAAs – Four steps for
SMS implementation
State safety programme
• State’s safety programme components
1. Safety policy and objectives
2. Safety risk management
3. Safety assurance
4. Safety promotion
State safety programme
components
• 1. Safety policy and objectives
– How the CAA will oversee the management of
safety in the State.
• A definition of CAA requirements,
responsibilities and accountabilities regarding
the State safety programme.
• Similar to the equivalent SMS component.
• 2. Safety risk management
– Establishment of controls which govern how
service providers SMS will operate
• Standards/requirements for service providers
SMS
• Same processes as SMS
– Hazard identification and risk management
• Different outputs
– New/modified rules and/or regulations (i.e.,
controls) which govern how service
providers SMS operate.
State safety programme
components
State safety programme
components
• 3. Safety assurance
– Ensuring that the operation of service providers
SMS follows established controls (standards /
requirements)
• Oversight, inspections and audits
• Data tracking and analysis
– Data driven targeting of oversight on areas
of greater concern/need.
State safety programme
components
• 4. Safety promotion
– Support the integration of the State safety
programme with the operation of service
providers SMS
• Training, communication and dissemination of
safety information
• Dual-track promotion
– Within the CAA
– Among service providers it oversees
State
safety
programme
Organization’s
safety
management
system (SMS)
Organization’s
production
processes
Objective: Public safety
Objective: Manage and control safety risk
Acceptance
Oversight
Objective: Achieve commercial goals and customer satisfaction
Risk management Safety assurance
Protection Production
Oversight
The final objective – Integration
Safety programme + SMS = State integrated safety management system
SEARAST/SARAST Bangkok, 10 Jan. 2007