Building an SMS

Safety Module 10
Phased approach to
Management SMS Implementation

System
Module N 6 SMS Module 8 Module 9
SMS planning SMS operation
regulation
Module 5 Module 6 Module 7
Risks SMS regulation Introduction to SMS

Module 1 Module 2 Module 3

Introduction Module 4
SMS course Basic safety to safety
introduction concepts Hazards
management

Revision N 11 ICAO Safety Management Systems (SMS) Course 01/10/08 Module N 6 ICAO Safety Management Systems (SMS) Course 2

Objective Outline

At the end of this module participants will be able to AGA, ATS and OPS/AMO safety management
What is a safety programme?
describe the safety management requirements included in
What is an SMS?
Annexes 6, 11 and 14, including the relationship between a
Acceptable level of safety Implementation, scope and
safety programme and an SMS. legal considerations
Protection of sources of safety information
Questions and answers
Points to remember

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ICAO Safety Management Systems (SMS) Course

Module N 6 SMS regulation
 The big picture As of 23 November 2006
Operation of aircraft States shall establish a safety programme, in order to
Maintenance of aircraft achieve an acceptable level of safety in:
Air traffic services The operation of aircraft
Aerodromes
Two audience groups The maintenance of aircraft
States The provision of air traffic services
Service providers
Aerodrome operations
Three distinct requirements
Safety programme The acceptable level of safety to be achieved shall be
SMS established by the State(s) concerned.
Management accountability
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What is a safety programme? Definitions

An integrated set of regulations and activities aimed at Acceptable level of safety A concept
improving safety.
States are responsible for establishing a safety programme, High level safety management goals of an oversight
encompassing the following responsibilities:
Safety regulation authority [or a service provider].
Safety oversight Minimum safety performance that service providers
Accident/incident investigation
Mandatory/voluntary reporting should achieve while conducting their core business
systems functions.
Safety data analysis and
exchange A reference against which to measure safety
Safety assurance
Safety promotion performance.
Further discussed in Module 10
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ICAO Safety Management Systems (SMS) Course

Module N 6 SMS regulation
 As of 23 November 2006 What is an SMS?
States shall require, as part of their safety programme, that A systematic approach to
an [operator, maintenance organization, ATS provider, managing safety, including
certified aerodrome] implements a safety management the necessary organizational
system accepted by the State that, as a minimum: structures, accountabilities,
Identifies safety hazards. policies and procedures.
Ensures that remedial action necessary to maintain an
Providers are responsible for
acceptable level of safety is implemented.
establishing an SMS.
Provides for continuous monitoring and regular
assessment of the safety level achieved. States are responsible of the
Aims to make continuous improvement to the overall acceptance and oversight for
level of safety. providers SMS.

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States safety programme SMS relationships As of 23 November 2006

Protection Production An accepted safety management system shall clearly
define lines of safety accountability throughout the
State
Objective:
safety
[airline, maintenance, ATS provider, certified aerodrome ]
Public
safety programme organization, including direct accountability for safety on
the part of senior management.
Acceptance Oversight
Oversight
Objective: (Accountability Obligation or willingness to account for
Organizations Achieve
Objective:
Organizations commercial ones actions)
safety production
Manage and goals and
management processes
control customer
system (SMS) satisfaction
safety risk
Risk management
Safety assurance

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ICAO Safety Management Systems (SMS) Course

Module N 6 SMS regulation
 Acceptable level of safety
Implementation
The concept of acceptable level of safety is expressed
in practical terms by two measures or metrics:
safety performance indicators
safety performance targets
It is delivered through various tools and means:
safety requirements.
Module N 6 ICAO Safety Management Systems (SMS) Course
Acceptable level of safety
Safety performance targets
Medium or long-term objectives of a States safety
programme, or an operator/services provider SMS.
Determined weighing what is desirable and what is
realistic for an individual State/operator/services
provider.
Expressed in numerical terms.
Example By 2010 reduce Cat A and B (most
serious) runway incursions to a rate of not more
than 0.5 per million operations.
Module N 6 ICAO Safety Management Systems (SMS) Course
ICAO Safety Management Systems (SMS) Course
Module N 6 SMS regulation
Acceptable level of safety
Safety performance indicators
Established objectives of a States safety programme, or
an operator/services provider SMS.
Linked to major components of a States safety
programme, or an operator/services provider SMS.
Expressed in numerical terms.
Example No more than 0.8 Cat A and B (most
serious) runway incursions per million operations
through 2009.
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Acceptable level of safety
Safety performance indicators and safety performance
targets may be different
Example No more than 0.8 Cat A and B (most
serious) runway incursions per million operations
through 2009, and reduce Cat A and B (most serious)
runway incursions to a rate of not more than 0.5 per
million operations by 2010.
Safety performance indicators and safety performance
targets may be the same
Example Maintain 0.8 Cat A and B (most serious)
runway incursions per million operations through 2010.
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 Acceptable level of safety Acceptable level of safety
The safety requirements should be satisfied in terms of Implementation
operational procedures, technology and systems,
programmes, and contingency arrangements. An acceptable level of safety will always be expressed
Measures of reliability, availability and/or accuracy may be by a number of safety performance indicators and
added.
safety performance targets, never by a single one.
Example Install Airport Surface Detection Equipment-
Model X (ASDE-X) at (three busiest airports) within the
next 12 months, with 98% annual availability.

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Acceptable level of safety Acceptable level of safety

Scope Scope

There will seldom be a single or national acceptable
level of safety.
Most frequently, within each State, different acceptable
levels of safety will be separately agreed between the
oversight authority and individual operators/services
providers.
Each agreed acceptable level of safety should be
commensurate to the:
complexity of individual operator/services provider
specific operational context
availability of operator/services provider resources
to address them.

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ICAO Safety Management Systems (SMS) Course

Module N 6 SMS regulation
 Acceptable level of safety Acceptable level of safety

Legal considerations States Legal considerations Operators and service

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 N 6 ICAO Safety Management Systems (SMS) Course
providers
Establishing 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.
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Acceptable levels of safety performance SMS Acceptable levels of safety performance SSP

1. Training course for drivers / installation of specific signage 1. Installation of ASDE/X in 5 international airports
Safety Safety 2. Video on ground de-icing / revision of the circular on in-flight icing /
2. Thrice-daily walk-in ramp inspection programme
requirements requirements briefings on pitot tube ice formation and use of de-icing boots
3. 3.
1. Maintain no more than 20 events of unauthorized vehicles on the
Safety taxiways per 10,000 operations Safety 1. By 2010 reduce runway incursions to 0.5 per 100,000 operations
performance 2. By January 2009 reduce to 8 FOD events on the apron per 10,000 2. By 2009 reduce in-flight loss of control events due to ice
performance accumulation to 2 per 1,000 operations
targets operations targets
3. 3.

Safety 1. 20 events of unauthorized vehicles on the taxiways per 10,000 1. 0.8 runway incursions per 100,000 operations
operations Safety
performance 2. 4 in-flight loss of control events due to ice accumulation per 1,000
2. 15 FOD events on the apron per 10,000 operations performance operations
indicators 3. indicators 3.

Service
Will comply all applicable national and international standards State Will comply all applicable international standards
provider

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ICAO Safety Management Systems (SMS) Course

Module N 6 SMS regulation
 Protecting sources of safety information Why ICAO safety management provisions?
Assembly Resolution A35/17 A move from prescription to performance
Legal guidance in Annex 13, Attachment E
Safety information must not be used for purposes other Prescriptive regulations Prescribe what the safety
than the purposes for which it was collected. requirements are and how they are to be met.
Introduction and definitions
Performance based regulations Specify the safety
General principles
Principles of protection requirements to be met, but provide flexibility in terms of
Principles of exceptions how safety requirements are met.
Responsibilities of the custodian of safety information
Protection of recorded information

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Acceptable levels of safety performance SMS Acceptable levels of safety performance SSP

1. Training course for drivers / installation of specific signage 1. Installation of ASDE/X in 5 international airports
Safety Safety 2. Video on ground de-icing / revision of the circular on in-flight icing /
2. Thrice-daily walk-in ramp inspection programme
requirements requirements briefings on pitot tube ice formation and use of de-icing boots
3. 3.
1. Maintain no more than 20 events of unauthorized vehicles on the
Safety taxiways per 10,000 operations Safety 1. By 2010 reduce runway incursions to 0.5 per 100,000 operations
performance 2. By January 2009 reduce to 8 FOD events on the apron per 10,000 2. By 2009 reduce in-flight loss of control events due to ice
performance accumulation to 2 per 1,000 operations
targets operations targets
3. 3.

Safety 1. 20 events of unauthorized vehicles on the taxiways per 10,000 1. 0.8 runway incursions per 100,000 operations
operations Safety
performance 2. 4 in-flight loss of control events due to ice accumulation per 1,000
2. 15 FOD events on the apron per 10,000 operations performance operations
indicators 3. indicators 3.

Service
Will comply all applicable national and international standards State Will comply all applicable international standards
provider

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ICAO Safety Management Systems (SMS) Course

Module N 6 SMS regulation
 Questions and answers
Q: What are the main activities in a State safety
programme?
A:
Safety regulation
Safety oversight
Accident/incident investigation
Mandatory/voluntary reporting
SMS regulation systems
Safety data analysis and
Questions and answers exchange
Safety assurance
Safety promotion
Slide number: 7
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Questions and answers Points to remember

Q: What is a safety management system (SMS)? 1. Safety programme.

2. SMS.
A: 3. Acceptable of level of safety.
A systematic approach to managing safety, including the a) Safety performance indicators.
b) Safety performance targets.
necessary organizational structures, accountabilities, c) Safety requirements.
4. The need to protect the source of information
policies and procedures.
5. Standardised SMS provisions Prescription vs.
performance.

Slide number: 10
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ICAO Safety Management Systems (SMS) Course

Module N 6 SMS regulation
 Module N 6 SMS
regulation

Revision N 11 ICAO Safety Management Systems (SMS) Course 01/10/08

ICAO Safety Management Systems (SMS) Course

Module N 6 SMS regulation