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Vince GalottiVince GalottiChief/ATMChief/ATM
ICAOICAO
27 March 200727 March 2007
REGULATING THROUGH REGULATING THROUGH
SAFETY PERFORMANCE SAFETY PERFORMANCE TARGETSTARGETS
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Presentation outline
Why safety managementWhy safety management
ICAO safety management requirementsICAO safety management requirements
Annex 6-Operation of AircraftAnnex 6-Operation of Aircraft
Annex 11-Air Traffic ServicesAnnex 11-Air Traffic Services
Annex 14-AerodromesAnnex 14-Aerodromes
Safety ProgrammeSafety Programme
Safety Management System Safety Management System
Acceptable levels of safety
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Why ICAO safety management
provisions?
A move from prescription to performance
Prescriptive regulations – Prescribe what the
safety requirements are and how they are to be
met.
Performance based regulations – Specify the
safety requirements to be met, but provide
flexibility in terms of how safety requirements are
met.
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The big picture
Operation of aircraftOperation of aircraft Maintenance of aircraftMaintenance of aircraft Air traffic services Air traffic services AerodromesAerodromes
Two audience groupsTwo audience groupsStatesStatesService providersService providers
Three distinct requirementsThree distinct requirementsSafety programmeSafety programmeSMSSMS Management accountabilityManagement accountability
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As of 23 November 2006
States shall establish a safety programme, in order States shall establish a safety programme, in order to achieve an to achieve an acceptable level of safetyacceptable level of safety in: 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
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
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What is a safety programme?
An integrated set of regulations and activities aimed An integrated set of regulations and activities aimed at improving safety.at improving safety.
States are responsible for establishing a safety States are responsible for establishing a safety programme:programme: Safety regulationSafety regulation Safety oversightSafety oversight Accident/incident investigationAccident/incident investigation Mandatory/voluntary reporting systemsMandatory/voluntary reporting systems Safety data analysisSafety data analysis Safety promotionSafety promotion
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Definitions
Acceptable level of safety – A conceptAcceptable level of safety – A concept
High level safety management goals of an High level safety management goals of an
oversight authority [or a service provider].oversight authority [or a service provider].
Minimum safety performance that service Minimum safety performance that service
providers should achieve while conducting their providers should achieve while conducting their
core business functions.core business functions.
A reference against one can measure safety A reference against one can measure safety
performance.performance.
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As of 23 November 2006
States shall require, as part of their safety programme, that an States shall require, as part of their safety programme, that an [operator, maintenance organization, ATS provider, certified [operator, maintenance organization, ATS provider, certified aerodrome operator]aerodrome operator] implements a implements a safety management system accepted by the State that, as a minimum:accepted 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 assessment of Provides for continuous monitoring and regular assessment of
the safety level achievedthe safety level achieved Aims to make continuous improvement to the overall level of Aims to make continuous improvement to the overall level of
safetysafety
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The focus of hazard identification
Hazard identification is a
wasted effort if restricted to
the aftermath of rare
occurrences where there is
serious injury, or significant
damage.
1 – 5AccidentsAccidents
30 – 100Serious incidentsSerious incidents
100 – 1000IncidentsIncidents
1000 – 4000
Latent conditionsLatent conditions
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Safety Data Systems and Levels of Intervention
Baseline performanceBaseline performance
“Practicaldrift”
Operational performance
Operational performance organization
Predictive Proactive Reactive
Highly efficient Very efficient Efficient
Safety management levelsSafety management levels
Reactive
Desirable managementDesirable managementlevel level
Inefficient
ASRASRSurveysSurveysAuditsAudits
ASRASRMORMOR
AccidentAccidentand incidentand incident
reportsreports
HHiigghhMMiiddddllee
LLooww
HazardsHazards
FDAFDADirectDirect
observationobservationsystemssystems
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What is an SMS?
A systematic approach to A systematic approach to managing safety, including the managing safety, including the necessary organizational necessary organizational structures, accountabilities, structures, accountabilities, policies and procedures.policies and procedures.
Providers are responsible for Providers are responsible for establishing an SMS.establishing an SMS.
States are responsible of the States are responsible of the acceptance and oversight for acceptance and oversight for providers’ SMS.providers’ SMS.
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Safety 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
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As of 23 November 2006
An 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 [airline, [airline, maintenance, ATS provider, certified aerodrome operator] maintenance, ATS provider, certified aerodrome operator] organization, including organization, including direct accountability for safety on the direct accountability for safety on the part of senior management.part of senior management.
Note. – Guidance on safety management systems is contained Note. – Guidance on safety management systems is contained in the ICAO Safety Management Manual (Doc 9859).in the ICAO Safety Management Manual (Doc 9859).
(Accountability – Obligation or willingness to account for one’s (Accountability – Obligation or willingness to account for one’s actions) actions)
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Acceptable level of safety
ImplementationImplementation
The concept of acceptable level of safety is expressed in practical terms by two measures or metrics:
safety performancesafety performance indicatorsindicators
safety performance targetssafety performance targets
It is delivered through various tools and means:
safety requirementssafety requirements. ……
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Acceptable level of safety
Safety indicatorsSafety indicators
Established objectives of a State safety programme, or an operator/services provider SMS.
Linked to major components of a State 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 targetsSafety targets Medium or long-term objectives of a State 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.
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Acceptable level of safety
Safety indicators and safety targets may be Safety indicators and safety targets may be differentdifferent
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 indicators and safety targets may be the Safety indicators and safety targets may be the samesame
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
… … ImplementationImplementation
The safety requirementssafety requirements should be satisfied in terms of operational procedures, technology and systems, programmes, and contingency arrangements.
Measures of reliability, availability and/or accuracy may be added. 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
… … ImplementationImplementation
An acceptable level of safetyacceptable level of safety will always be
expressed by a number of safety indicatorsnumber of safety indicators
and safety targetssafety targets, never by a single onenever by a single one.
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Acceptable level of safety
ScopeScope
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. ……
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Acceptable level of safety
… … ScopeScope
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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Acceptable level of safety
Legal considerations – States Legal considerations – States
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.
……
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Conclusion
1.1. Standardised SMS provisions – Prescription vs. performance.Standardised SMS provisions – Prescription vs. performance.2.2. Safety programme.Safety programme.3.3. SMS.SMS.4.4. Acceptable of level of safety.Acceptable of level of safety.
a)a) Safety performance indicators.Safety performance indicators.b)b) Safety performance targets.Safety performance targets.c)c) Safety requirements.Safety requirements.
5.5. The need to protect the source of informationThe need to protect the source of information
References: Annexes 6, 11, 13 and14, and Doc 9859, Chapter 3References: Annexes 6, 11, 13 and14, and Doc 9859, Chapter 3
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