SMS Regulatory Framework

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1 SMS Regulatory Framework NARAST Meeting - Bangkok, January 2007

2 SMS regulatory framework SMS An Overview

3 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

4 Safety Management System Building an SMS Module 10 Phased approach to SMS implementation Module 8 Module 9 SMS planning SMS operation Module 5 Risks Module 6 SMS regulation Module 7 Introduction to SMS Module 1 SMS course introduction Module 2 Basic safety concepts Module 3 Introduction to safety management Module 4 Hazards

5 Operation of aircraft Maintenance of aircraft Air traffic services Aerodromes The big picture

6 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

7 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)

8 ICAO SMS FRAMEWORK 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

9 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.

10 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.

11 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

12 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

13 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).

14 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.

15 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

16 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.

17 CAAs Four steps for SMS implementation 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.

18 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.

19 STEP 4 CAA enforcement policy: CAAs Four steps for SMS implementation 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.

20 State safety programme State s safety programme components 1. Safety policy and objectives 2. Safety risk management 3. Safety assurance 4. Safety promotion

21 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.

22 State safety programme components 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.

23 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.

24 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

25 The final objective Integration Safety programme + SMS = State integrated safety management system Protection Production Objective: Public safety State safety programme Acceptance Oversight Oversight Objective: Manage and control safety risk Organization s safety management system (SMS) Risk management Safety assurance Organization s production processes Objective: Achieve commercial goals and customer satisfaction

26 SEARAST/SARAST Bangkok, 10 Jan. 2007

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