COMPLIANCE AND PERFORMANCE .1 ICAO SAFETY MANAGEMENT SARPs
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agreed safety performance of the services provider’s SMS, because of an imbalanced allocation of resources to production and protection. Therefore, in exercising performance-based oversight as described in 6.8.7, in overseeing
SMS operational performance against agreed SMS safety performance specific to the service provider, biases in the allocation of resources, as well as the safety performance of the SMS as a whole, will become obvious: lack of
resources will lead either to non-identification of safety hazards or to flawed safety risk management and, consequently, to poor safety performance of the SMS. In such a case, although perhaps regulatory-compliant, the service provider’s
SMS will not be effective. In Figure 6-7, performance-based acceptance and oversight are represented by the diagonal arrow linking the SSP and the organization’s production processes.
6.9 COMPLIANCE AND PERFORMANCE 6.9.1
There is growing conviction within aviation about the need to complement the existing compliance-based approach to safety with a performance-based approach, with a view to achieving a realistic implementation of safety
management practices through the SSP and the SMS. The subject has already been discussed in this chapter under the SSP and its companion ALoS. This section presents a summary conclusion, highlighting the significant points.
6.9.2
The quest for safety management and a performance-based approach to safety is based upon the deployment and effective utilization of safety risk controls. From the perspective of the State, the most effective safety
risk controls at its disposal are safety regulations. 6.9.3
In a compliance-based safety environment, the approach to safety management is rigid and prescriptive, as discussed in Chapter 3 and this chapter. In a compliance-based safety environment, safety regulations are used as
administrative controls. A strict regulatory framework is supported by inspections and audits with one exclusive objective: regulatory compliance.
6.9.4
In a performance-based safety environment, the approach is flexible and dynamic. In such an environment,
safety regulations are used as safety risk controls. A regulatory framework is implemented in which regulations are developed to respond to and control safety risks, and oversight of compliance with the regulatory framework is
supported by data-based identification and prioritization of safety risks, with two objectives: regulatory compliance, but most importantly, verification of effective safety performance.
6.9.5
In a performance-based safety environment, there is a need to define a set of measurable objectives for an SSP and measurable performance objectives for an SMS to determine if both the SSP and the SMS are operating in
accordance with design expectations, beyond regulatory compliance. Measurable objectives and performance objectives permit the actual performance of activities critical to safety to be assessed against existing organizational controls so
that necessary corrective or preventive action can be taken and safety risks can be maintained as low as reasonably practicable ALARP.
6.9.6
The notions of an ALoS related to an SSP and safety performance for an SMS are essential ingredients for the effective operation of both an SSP and an SMS. They provide the foundation for a performance-based regulatory
environment, in order to monitor the actual implementation of an SSP and the actual performance of an SMS, beyond regulatory compliance. Only through the establishment and measurement of specific safety objectives and safety
performance objectives — through assurance of the effective implementation of an SSP and effective safety performance of an SMS — can the objective of continuous improvement of safety performance underlying an SSPSMS be achieved.
6.9.7
Safety indicators and safety targets, and safety performance indicators and safety performance targets provide a measurable way of ensuring and demonstrating the effectiveness of an SSP or an SMS respectively, beyond
regulatory compliance. Regulatory compliance still remains at the foundation of safety management for the State as well as for service providers. Figures 6-8 and 6-9 build upon the examples of safety indicators and safety targets, safety
performance indicators, safety performance targets, and action plans of an SSP and an SMS respectively, discussed in this chapter, to illustrate where and how prescription and performance fit within an SSP and an SMS.
Chapter 6. ICAO Safety Management SARPs 6-17
Figure 6-8. SSP — Prescription combined with performance
6.9.8
In summary, in accordance with the ICAO harmonized safety management SARPs: a States shall establish a State safety programme SSP, in order to achieve an acceptable level of
safety ALoS in civil aviation. b The acceptable level of safety ALoS to be achieved shall be established by the State.
c Service provides shall implement a safety management system SMS that: 1
identifies safety hazards;
2 ensures remedial action to maintain safety performance; 3 provides continuous monitoring and regular assessment of the safety performance; and
4 aims at continuous improvement of the overall performance of the SMS.
Performance
Prescription
Will comply with all applicable international Standards. State
1. Reduce by the number of Maximum of
non-conforming approaches NCA at 5 international airports per
arrivals by .
[number] [number]
[number] [date]
2. Reduce by the number of Maximum of
Cat B and C runway incursions at 5 international
airports per operations by
. 3. ...
[number] [number]
[State] [number]
[date]
Safety target
values
1. Constant descent arrival CDA procedures implemented. Arrival procedures charts designed for stabilized approaches.
2. Installation of ASDEX at 5 international airports.
3. ... [State]
Action plans
Safety indicator
values
1. non-conforming approaches NCA at 5 international airports per
operations. [Number]
[number] 2.
Cat B and C runway incursions at 5 international airports per
operations. 3. ...
[Number] [State] [number]
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Figure 6-9. SMS — Prescription combined with performance
_____________________
Performance
Will comply with all applicable international Standards.
Prescription
State
Safety target
values
1. Training course for driversinstallation of specific signage. 2. Thrice-daily walk-in ramp inspection programme.
3. ...
Action plans
Safety indicator
values
1. events of unauthorized vehicles on the taxiways at 5
international airports.
[Number] [State]
2. FOD events on the apron at 5
international airports. 3. ...
[Number] [State]
1. events of unauthorized vehicles on the taxiways per
operations at 5
international airports by .
2. .
[number] [State] [date]
[Number] [Number]
[number] of FOD events on the apron per
operations 3. ...
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