ICAO Harmonized Safety Management Requirements – The Safety Concern

1. 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

2. 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

3. 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

4. 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

5. As of 23 November 2006 Statesshall require, as part of their safety programme, that an [operator, maintenance organization, ATS provider, aerodrome operator] implements a safety management systemaccepted 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

6. Another Definition Safety management system– A systemic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures

7. 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)

8. 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

9. 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

10. The Safety Concern – Prologue What is the safety concern(s) in aviation for which the ICAO Harmonized safety management requirements requirements might provide ananswer?

12. Baseline performance Operational deployment System design Operational performance An Imperfect System “Practical Drift” Baseline (ideal) performance

13. Aviation: The First Ultra-Safe Industrial System • Fragile system (1920’s -1970’s) • Individual risk management & intensive training • Accident investigation 10-3 • Safe system (1970’s – mid 1990’s) • Technology & regulations • Incident investigation 10-5 • Ultra-safe system (mid 1990’s onwards) • Business management approach to safety (SMS) • Routine collection and analysis of operational data 10-7

14. Safety Data to Inform Risk Management Decisions