OBJECTIVE AND CONTENTS ICAO SAFETY MANAGEMENT SARPS — GENERAL .1
Chapter 6 ICAO SAFETY MANAGEMENT SARPs
6.1 OBJECTIVE AND CONTENTS
This chapter presents the ICAO safety management SARPs included in Annex 1 — Personnel Licensing, Annex 6 — Operation of Aircraft, Annex 8 — Airworthiness of Aircraft, Annex 11 — Air Traffic Services, Annex 13 — Aircraft Accident and Incident Investigation and Annex 14 — Aerodromes. This chapter also presents the relationship between the State safety programme SSP and the service provider’s safety management system SMS. This chapter includes the following topics: a ICAO safety management SARPs — General; b State safety programme SSP; c Acceptable level of safety ALoS; d Safety management system SMS; e SMS safety performance; f Management accountability; g Relationship between an SSP and an SMS; and h Compliance and performance. 6.2 ICAO SAFETY MANAGEMENT SARPS — GENERAL 6.2.1 The ICAO safety management SARPs are contained in Annexes 1; 6, Parts I and III; 8; 11; 13 and 14. These Annexes address the activities of approved training organizations, international aircraft operators, approved maintenance organizations, organizations responsible for type design andor manufacture of aircraft, air traffic service providers and certified aerodromes. In the case of Annex 1, the safety management SARPs are limited exclusively to approved training organizations that are exposed to safety risks during the provision of their services. 6.2.2 The safety management SARPs are aimed at two audience groups: States and service providers. In the context of this manual, the term “service provider” refers to any organization providing aviation services. The term thus encompasses approved training organizations that are exposed to safety risks during the provision of their services, aircraft operators, approved maintenance organizations, organizations responsible for type design andor manufacture of aircraft, air traffic service providers and certified aerodromes, as applicable. 6.2.3 The ICAO safety management SARPs address three distinct requirements: a requirements regarding the State safety programme SSP, including the acceptable level of safety ALoS of an SSP; 6-2 Safety Management Manual SMM b requirements regarding safety management systems SMS, including the safety performance of an SMS; and c requirements regarding management accountability vis-à-vis the management of safety during the provision of services. 6.2.4 The ICAO safety management SARPs introduce the notion of acceptable level of safety ALoS as the way of expressing the minimum degree of safety that has been established by the State and must be assured by an SSP, and the notion of safety performance as the way of measuring the safety performance of a service provider and its SMS. 6.3 STATE SAFETY PROGRAMME SSP 6.3.1Parts
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» GENERAL OBJECTIVES CONCEPT CONTENTS .1
» OBJECTIVE AND CONTENTS .1 THE CONCEPT OF SAFETY .1
» THE EVOLUTION OF SAFETY THINKING .1
» ACCIDENT CAUSATION — THE REASON MODEL .1
» THE ORGANIZATIONAL ACCIDENT .1 BASIC SAFETY CONCEPTS
» PEOPLE, CONTEXT AND SAFETY — THE SHEL MODEL .1
» ERRORS AND VIOLATIONS Operational errors
» ORGANIZATIONAL CULTURE .1 BASIC SAFETY CONCEPTS
» SAFETY INVESTIGATION .1 BASIC SAFETY CONCEPTS
» OBJECTIVE AND CONTENTS .1 THE SAFETY STEREOTYPE .1
» THE MANAGEMENT DILEMMA .1 INTRODUCTION TO SAFETY MANAGEMENT
» THE NEED FOR SAFETY MANAGEMENT .1
» STRATEGIES FOR SAFETY MANAGEMENT .1
» THE IMPERATIVE OF CHANGE .1 SAFETY MANAGEMENT — EIGHT BUILDING BLOCKS .1
» FOUR RESPONSIBILITIES FOR MANAGING SAFETY .1
» OBJECTIVE AND CONTENTS HAZARDS AND CONSEQUENCES .1
» FIRST FUNDAMENTAL — UNDERSTANDING HAZARDS .1
» SECOND FUNDAMENTAL — HAZARD IDENTIFICATION .1
» THIRD FUNDAMENTAL — HAZARD ANALYSIS .1
» GENERAL INFORMATION SYSTEM REQUIREMENTS
» UNDERSTANDING DATABASES FOURTH FUNDAMENTAL — DOCUMENTATION OF HAZARDS .1
» DATABASE LIMITATIONS DATABASE INTEGRITY
» SAFETY DATABASE CAPABILITIES DATABASE SELECTION CONSIDERATIONS
» OBJECTIVE AND CONTENTS DEFINITION OF SAFETY RISK .1
» FIRST FUNDAMENTAL — SAFETY RISK MANAGEMENT .1
» SECOND FUNDAMENTAL — SAFETY RISK PROBABILITY .1
» THIRD FUNDAMENTAL — SAFETY RISK SEVERITY .1
» FOURTH FUNDAMENTAL — SAFETY RISK TOLERABILITY .1
» FIFTH FUNDAMENTAL — SAFETY RISK CONTROLMITIGATION .1
» SCENARIO SYSTEM DESCRIPTION HAZARD IDENTIFICATION PROCESS
» SAFETY RISK ASSESSMENT PROCESS SAFETY RISK CONTROLMITIGATION PROCESS
» HAZARD IDENTIFICATION AND SAFETY RISK MANAGEMENT LOG
» SCENARIO SYSTEM DESCRIPTION THE FIVE FUNDAMENTALS OF SAFETY RISK MANAGEMENT — SUMMARY .1
» HAZARD IDENTIFICATION PROCESS SAFETY RISK ASSESSMENT PROCESS
» SAFETY RISK CONTROLMITIGATION PROCESS
» OBJECTIVE AND CONTENTS ICAO SAFETY MANAGEMENT SARPS — GENERAL .1
» STATE SAFETY PROGRAMME SSP .1
» ACCEPTABLE LEVEL OF SAFETY ALoS
» SAFETY MANAGEMENT SYSTEM SMS .1
» SMS SAFETY PERFORMANCE .1 ICAO SAFETY MANAGEMENT SARPs
» MANAGEMENT ACCOUNTABILITY .1 ICAO SAFETY MANAGEMENT SARPs
» RELATIONSHIP BETWEEN AN SSP AND AN SMS .1
» COMPLIANCE AND PERFORMANCE .1 ICAO SAFETY MANAGEMENT SARPs
» OBJECTIVE AND CONTENTS INTRODUCTORY CONCEPTS .1
» SMS FEATURES .1 INTRODUCTION TO SAFETY
» SYSTEM DESCRIPTION .1 INTRODUCTION TO SAFETY
» GAP ANALYSIS .1 INTRODUCTION TO SAFETY
» SMS AND QMS .1 INTRODUCTION TO SAFETY
» SSPSMS AND THE ACCIDENT INVESTIGATION PROCESS .1 INTEGRATION OF MANAGEMENT SYSTEMS .1
» INTRODUCTION SYSTEM DESCRIPTION OF AN AERODROME
» GAP ANALYSIS ICAO SMS FRAMEWORK SMS GAP ANALYSIS FOR SERVICE PROVIDERS
» OBJECTIVE AND CONTENTS THE COMPONENTS AND ELEMENTS OF AN SMS .1
» THE ICAO SMS FRAMEWORK MANAGEMENT COMMITMENT AND RESPONSIBILITY .1
» SAFETY ACCOUNTABILITIES .1 SMS PLANNING
» APPOINTMENT OF KEY SAFETY PERSONNEL .1
» COORDINATION OF EMERGENCY RESPONSE PLANNING .1 SMS DOCUMENTATION .1
» OVERALL PURPOSE KEY ROLES Safety advocate RESPONSIBILITIES
» NATURE AND SCOPE QUALIFICATIONS AUTHORITY
» OBJECTIVE AND CONTENTS SAFETY RISK MANAGEMENT — GENERAL .1
» HAZARD IDENTIFICATION .1 SMS OPERATION
» RISK ASSESSMENT AND MITIGATION .1
» SAFETY ASSURANCE — GENERAL .1 SMS OPERATION
» SAFETY PERFORMANCE MONITORING AND MEASUREMENT .1
» PROTECTION OF SOURCES OF SAFETY INFORMATION .1
» CONTINUOUS IMPROVEMENT OF THE SMS .1
» THE RELATIONSHIP BETWEEN SAFETY RISK MANAGEMENT SRM AND SAFETY ASSURANCE SA
» SAFETY PROMOTION — TRAINING AND EDUCATION .1
» OBJECTIVE AND CONTENTS WHY ADOPT A PHASED APPROACH TO SMS IMPLEMENTATION .1
» PHASE I — PLANNING SMS IMPLEMENTATION .1
» PHASE II — REACTIVE SAFETY MANAGEMENT PROCESSES .1
» REFERENCES DEFINITIONS GENERAL SAFETY POLICY AND OBJECTIVES 1 General requirements
» QUALITY POLICY IMPLEMENTATION OF THE SMS
» PHASE I — PLANNING SMS IMPLEMENTATION
» PHASE II — REACTIVE SAFETY MANAGEMENT PROCESSES
» PHASE III — PROACTIVE AND PREDICTIVE SAFETY MANAGEMENT PROCESSES
» PHASE IV — OPERATIONAL SAFETY ASSURANCE
» OBJECTIVES AND CONTENTS THE COMPONENTS AND ELEMENTS OF AN SSP .1
» THE ICAO SSP FRAMEWORK SSP DEVELOPMENT .1
» GAP ANALYSIS ICAO SSP FRAMEWORK
» STATE SAFETY PROGRAMME SSP GAP ANALYSIS
» GENERAL REMEDIAL MEASURES External training, communication and dissemination of safety information
» ENFORCEMENT PROCEDURES PROPORTIONALITY OF RESPONSES NATURAL JUSTICE AND ACCOUNTABILITY EXCEPTIONS
» GENERAL APPLICABILITY External training, communication and dissemination of safety information
» PROCEDURES External training, communication and dissemination of safety information
» State safety responsibilities and accountabilities
» INTRODUCTION External training, communication and dissemination of safety information
» ICAO REQUIREMENTS ERP CONTENTS
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