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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