Fourth Meeting
Flight operations and Air traffic management
Component of the
North Asia Regional Aviation Safety Team (NARAST)
Bangkok, Thailand
31st August,1,2 September 2005
ICAO Developments in Safety
Management
Gustavo De León
Technical Officer, ATM
ICAO
1
Objectives
• Basic concepts related to Safety
management systems;
• Harmonization of ICAO Safety
provisions through the consolidation of
requirements related to Safety
management systems contained in
Annexes 11, 14 and introducing the
concept in Annex 6; and
• New ICAO Safety management manual
(SMM)
2
What is Safety
• Safety can be defined as a condition in
which the risk of harm or damage is
limited to an acceptable level
• Risk is inherent in all human activity
• The best we can do is manage it
3
Risk
• Risk
• The probable rate of occurrence of a
hazard causing harm and the degree of
severity of the harm
• Risk = severity * probability
• As low as reasonable probable (ALARP)
4
ALARP
• As Low As Reasonable Probable
Unacceptable
region
Tolerable
region
ALARP
Acceptable
region
Negligible
risk
5
Risk Classification Scheme
(Example)
6
Safety Management System
• Safety management system provides
organizations with:
• the capacity to anticipate and address
safety issues before they lead to an
incident or accident
• the ability to deal effectively with
accidents and incidents so that valuable
lessons are applied to improve safety and
efficiency
• reduces costs through the proactive
management of risks
7
Safety Management Systems
• Management approach to human and
organizational risks
• Should be applied throughout the
entire organization, including nonregulated areas
• Mitigate latent conditions so that the
holes in the Swiss cheese cannot lineup
8
Cautionary Notes
• A Safety Management System in it self
does not eliminate all risks…
• It is a management tool which ensures
a systematic and pro-active approach to
safety throughout the whole
organization of the ATS Service Provider
9
The Concept of SMS
Safety
Culture
Safety
Monitoring
Philosophy of
Safety
Management
Safety
Policy
Safety
Assessment
Safety
Auditing
Maintenance or
Improvement
of Safety
Performance
Safety
Promotion
Supporting
organizational
requirement
Safety Management
10
Philosophy of Safety
Management
Philosophy
of Safety
Manageme
nt
• Explicit
• Systematic
• Proactive
11
Safety Policy
Safety
Policy
• Overall safety objective of the organization
• Commitment of senior management to meet
safety performance targets
• Commitment by the organization to a
proactive and systematic approach to the
management of safety
• Commitment by the organization to making
maintenance of safety its highest priority
• The organization’s policy concerning
responsibility and accountability for safety at
all levels of the organization
12
Safety Culture
Safety
Culture
• Managers in top positions foster a
climate with a positive attitude towards
criticism, comments and feedback from
lower level of the organization
• Awareness of the importance of
communicating relevant safety
information at all levels of the
organization is present;
• Low incidence of risk taking behavior
and a safety ethic discouraging such
behavior.
13
Safety Monitoring
Safety
Monitoring
Safety
Assessment
Safety
Auditing
Safety
Promotion
• Specify Safety Performance Indicators
• Set Safety Performance Targets
• Develop & implement appropriate data
collection procedures
• Safety Occurrence Reporting & Investigation
System
• Develop and implement monitoring
processes
14
Safety Monitoring
Occurrence Reporting and Investigation
System
Safety
Monitoring
• Establishment of reporting culture
Safety
Assessment
Safety
Auditing
• Mandatory/Voluntary
Safety
Promotion
• Non-punitive
• Just culture
15
Safety Assessment
Safety
Monitoring
Safety
Assessment
Seven step approach
•
Safety
Auditing
Safety
Promotion
•
•
•
•
•
•
Develop complete description of the system
and of the environment in which the system
is to be operated
Identification of hazards
Estimation of severity of potential
consequences
Estimate of likelihood of hazard occurring
Evaluation of risk
Mitigation of risk
Development of safety assessment
16
documentation
Safety Auditing
Safety
Monitoring
Safety
Assessment
Safety
Auditing
Safety
Promotion
• Ensure that risks are identified and the
potential for causing or contributing to an
incident are recognized
• Ensure that the “health” of the safety
management system
• Ensure that adequate arrangements exist to
handle foreseeable emergencies
• Ensure that equipment performance is
adequate for the safety performance
• Ensure that effective arrangements exist for
promoting safety, monitoring safety
performance and processing safety issues
17
Safety Promotion
Safety
Monitoring
Safety
Assessment
• Promulgation of Safety Management
Safety
Auditing
Safety
Promotion
• Lesson Dissemination
• Continuous awareness campaigns on
safety management
18
Supporting Organizational
Requirements
Supporting
organizational
requirement
• Responsibility and accountability
• Safety Manager / Safety Organization
• Training and competency of personnel
• Safety documentation
19
Safety Organization
Chief
Executive
Safety
Manager
Operations
Division
Technical
Division
Training
------
20
Safety Performance
Maintenance or
Improvement
of Safety
Performance
Identify actual and
potential hazards and
determine the need
for remedial action
Provide for continuous
monitoring and regular
assessment of the safety
level achieved
Ensure that remedial
action necessary to
maintain an acceptable
level of safety is
implemented
21
Summarizing SMS
• Safety is a condition in which the
risk of harm or damage is limited
to an acceptable level
• Safety Management System is a
tool
Remember:
Implementation of Safety Management is not a
desk job. It requires senior management
commitment, senior management leadership
and an organization willing to develop a safety
culture
22
Eleventh Air Navigation
Conference
Recommendation 2/1 — A framework for
system safety
That ICAO investigate appropriate mechanisms for the
development and implementation of a framework
for a uniform and system-wide approach to safety,
and the application of this framework to:
a) the harmonization of provisions relating to safety
assessment and safety management in relevant
Annexes and Procedures for Air Navigation Services
(PANS); and
b) the harmonization of the approaches to safety
assessment in the development of safety-related
standards and recommended practices (SARPs) 23
ICAO activities in support of
systems safety
• ATM operational concept considers
safety from the start and throughout
the life cycle
• Systems approach to safety oversight
• Unified strategy
• Harmonization of ICAO Safety
Management provisions
24
Preparing for Global ATM
• The emerging ATM system will allow
maximum use to be made of enhanced
capabilities and new technologies
• Integrated system
• Implementation requires adoption of a
systems safety approach to safety
• Eleventh Air Navigation Conference
adopted a global ATM Operational
Concept
25
An integrated ATM System
requires an integrated approach to safety
Information
rich
environment
Aerodrome
Operator
Management
Communications
Navigation
ATM
Service provider
Surveillance
Aircraft
operations
People
Systems
Information
Maintenance
Engineering
Procedures
Demand capacity
balancing
Airspace User
Conflict Management
Airspace
organization
and Management
ATM service delivery
management
Traffic synchronisation
26
Inspiration for ATS safety
management provisions
• NATS introduced formal SM in 1991
• ECAC adopted a common safety
programme to implement SM
• EUROCONTROL
• Guidance material published in 1999
• ESARR 3 published in 2000
27
Source of ATS Safety
Management Requirements
• Standards and Recommended Practices
(SARPS) for Safety Management in ATS
introduced in Amendment 40 to Annex
11
• Complementary procedures introduced
in Amendment 1 to the fourteenth
edition of the PANS-ATM (Doc 4444)
28
AN-Conf/11-Harmonization of
safety provisions
• Annex 6 – Operation of Aircraft, Parts I and
III
• Annex 11 – Air Traffic Services
• Annex 14 – Aerodromes
• Two basic concepts
• Safety programme – An integrated set of regulations and
activities aimed at improving safety
• Safety management system – An organized approach to
managing safety, including the necessary organizational
structures, accountabilities, policies and procedures Two
levels of responsibility for implementation
• State
• Operator (Airline, ATS provider, aerodrome operator)
29
New harmonized provisions
(Regulator)
• Annexes 6, 11 and 14
• States shall establish a safety programme, in
order to achieve an acceptable level of safety in
(Annex specific):
•
•
•
•
the operation of aircraft
the maintenance of aircraft
the provision of ATS
aerodrome operations
• The acceptable level of safety to be achieved
shall be established by the State(s) concerned
30
New harmonized provisions
(Provider)
• States shall require that the (operator/maintenance
organization/air traffic services provider/certified
aerodrome operator) implement a safety
management system approved by the (State/State
of the operator) that, inter alia:
• identifies actual potential safety hazards
• provides for continuous monitoring and regular
assessment of the level of safety achieved.
• ensures that remedial action necessary to
maintain an acceptable level of safety is
implemented; and
31
New harmonized provisions
(Provider)
• An approved safety management
system shall clearly define lines of
safety accountability throughout the
(operator/maintenance organization/air
traffic services provider/certified
aerodrome operator), including a direct
accountability for safety on the part of
senior management
32
The State as a
Service Provider
• Where a State is also an ATM service
provider:
• It is important that there is a clear
distinction between the regulatory
functions and the service provision
functions
• The regulatory division must maintain
effective safety oversight of the service
provision divisions
33
ICAO Safety Management
Manual (SMM)
• 1984 ICAO Accident Prevention
Manual (APM)
• 2004 Draft SMS manual for ATM
Draft SMS manual for Aerodromes
Revised APM (second edition)
• 2005 New ICAO Safety Management
34
Manual
Why an ICAO
Safety Management Manual
• Pressure on ICAO to publish appropriate
guidance
• (Annexes 6, 11, 13, 14)
• Three large draft manuals produced around
same time.
• ICAO would have trouble producing the
three manuals in a timely fashion.
• All three dealt with SAFETY, albeit from
different perspectives.
• Combine into one manual (SMM)
35
The Safety Management Manual
- Concept
• No right (or single) way to address
safety
• No one size that fits all. (State,
Operator, Individual)
• Manual will take a more generic
approach
• Include both approaches to safety (SMS
and traditional)
• Users can take as much or as little as
their circumstances permit
36
• Make available on website;
SMM Outline
Part 1 — Introduction
• Chapter 1- Overview
• Chapter 2 - Responsibility For Safety
Management
• Chapter 3 – State Safety Programme
37
SMM Outline
Part 2 — The Management of
Safety
• Chapter 4 – Understanding Safety
• Chapter 5 – Basic of Safety
Management
• Chapter 6 – Risk Management
• Chapter 7 – Hazard and Incident
Reporting
• Chapter 8 – Safety Investigations
38
SMM Outline
Part 2 — The Management of
Safety
• Chapter 9 –
Studies
Safety Analysis and
• Chapter 10 – Safety Performance
Monitoring
• Chapter 11 – Emergency Response
Planning
39
SMM Outline
Part 3 - Safety Management Systems (SM
• Chapter 12 – Establishing A Safety
Management System
• Chapter 13 - Safety Assessments
• Chapter 14 - Safety Auditing
• Chapter 15 - Practical Considerations
For Operating a
System
Safety Management
40
Part 4 — Applied Safety
Management
• Chapter 16 – Aircraft Operations
• Chapter 17 – Air Traffic Services
Operations
• Chapter 18 – Aerodrome Operations
• Chapter – 19 Aircraft Maintenance
41
Conclusions
• Safety, Risk and Safety management
systems
• Harmonization of ICAO Safety
provisions in Annex 11, 14 and 6.
• New ICAO Safety management manual
42
Your Contribution to Safety
• Implement safety management
systems
• Foster safety culture
• Enforce regulations
• Report safety occurrences
43
THE END
THANKS
44