SMS Regulatory Framework

NARAST Meeting - Bangkok, 15 -17 January 2007

SMS regulatory framework

SMS – An Overview

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

Building an SMS

Safety

Management

System

Safety

Management

System

Module 1

SMS course introduction

Module 3

Introduction to safety

management

Module 4

Hazards

Module 5

Risks

Module 6

SMS regulation

Module 7

Introduction to SMS

Module 8

SMS planning

Module 9

SMS operation

Module 10

Phased approach to SMS

implementation

Module 2

Basic safety concepts

Module 2

Basic safety concepts

Module 3

Introduction to safety

management

Module 4

Hazards

Module 5

Risks

Safety

Management

System

Module 6

SMS regulation

Module 7

Introduction to SMS

Module 8

SMS planning

Module 9

SMS operation

Module 10

Phased approach to SMS

implementation

Safety

Management

System

Safety

Management

System

Module 6

SMS regulation

Module 10

Phased approach to SMS

implementation

The big picture

• Operation of aircraft • Maintenance of aircraft • Air traffic services • Aerodromes

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

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)

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

ICAO SMS FRAMEWORK

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.

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.

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

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

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).

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.

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

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.

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.

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.

CAAs – Four steps for

SMS implementation

STEP 4

• CAA enforcement policy:

– 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.

CAAs – Four steps for

SMS implementation

State safety programme

• State’s safety programme components

1. Safety policy and objectives

2. Safety risk management

3. Safety assurance

4. Safety promotion

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.

• 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.

State safety programme

components

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.

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

State

safety

programme

Organization’s

safety

management

system (SMS)

Organization’s

production

processes

Objective: Public safety

Objective: Manage and control safety risk

Acceptance

Oversight

Objective: Achieve commercial goals and customer satisfaction

Risk management Safety assurance

Protection Production

Oversight

The final objective – Integration

Safety programme + SMS = State integrated safety management system

SEARAST/SARAST Bangkok, 10 Jan. 2007