Source: http://easa.europa.eu/sms/
Timestamp: 2013-12-07 18:44:58
Document Index: 652772142

Matched Legal Cases: ['art-21', 'art-145', 'art-147', 'art-145', 'art-66', 'art-147']

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On this page we provide an overview of the various activities that are being carried out towards the regulation and implementation of safety management at various levels in the EU aviation system. Information on this website is organised in three dimensions to facilitate access and comprehension. The site describes safety management activities at the Member State level, at the European Union (EU) level and at the global level.
For further information or to provide feedback on any safety management related issue, you may use the following form.
ICAO principles In order to further improve the already good safety record that exists in the civil aviation industry, ICAO has promoted the principles of safety management. These principles revolve around the implementation of a Safety Management System (SMS) in industry organisations and a State Safety Programme (SSP) in Contracting States. The Safety Management Manual is a good starting point to become more familiar with the principles promoted by ICAO. A link to the unedited advance version of ICAO Doc 9859 Edition 3 can be found here. The final edited version may still undergo alterations pending final approval by the ICAO Secretary General. ICAO is currently developing a new Annex (Annex 19). The new Annex will collect in one document all the safety management requirements now spread across various Annexes. ICAO plans to adopt Annex 19 in November 2013.
1. Safety Management at the Member State level
When developing these principles, ICAO mandated that all Contracting States (and therefore also EASA Member States) implement an SSP while organisations in the Member States were required to establish an SMS. Both elements are complementary.
For an overview of the various SSPs, Safety Plans and related documents published in various States click here. 2. Safety Management at the EU level
The first EASA SSP/SMS requirements have been adopted in the form of authority and organisation requirements with Regulation (EU) 290/2012 in the domain of flight and cabin crew and Regulation (EU) 965/2012 in the domain of air operations. Requirements will be progressively extended to other domains of the aviation system. The European Commercial Aviation Safety Team (ECAST), a partnership among EASA, other European regulators and the aviation industry, established an SMS and safety culture working group with the objective of providing guidance on safety management in support to regulatory materials being developed by ICAO and EASA. The materials developed by the group can be found here.
The European Helicopter Safety Team (EHEST), the rotorcraft component of the European Strategic Safety Initiative (ESSI) and the European branch of the International Helicopter Safety Team, published a Safety Management Toolkit comprising a sample Safety Management Manual, a sample Emergency Response Plan and a Safety Management Database User Guide. This material was developed with consideration to Annex III to Regulation (EU) 965/2012 (Part-ORO Subpart GEN, Section II 'Management System' and related AMC).
Additionally to the above, EASA, the Member States, the European Commission, our safety initiatives, the Performance Review Body and Eurocontrol have taken a more proactive approach and worked collaboratively to develop the European Aviation Safety Programme (EASP). The EASP aids Member States in meeting their legal obligations and further improving safety.
The EASP
Certain systems such as the one set up in the European Union need further consideration when it comes to safety management principles and requirements.
The sharing of roles between the EU and the Member States, as described in the EASA Basic Regulation, makes it necessary for the Member States to work together with EASA to fully implement the SSP. Production of an EU equivalent of an SSP (i.e. the EASP) is a more efficient means of discharging this obligation and would support the EU Member and associated States in developing their own SSPs.
To download a full article explaining the pioneer approach taken in Europe click here.
The main elements of the EASP
The proposed approach for European aviation safety is based on three elements:
A set of policies and objectives from political authorities (the strategy). The strategic elements are spelled out by the European Commission in a Communication to the Council and the European Parliament. To download the communication click here.
An integrated set of regulations and activities aimed at improving safety (the programme). The EASP is published as a Commission Staff Working Paper. It conforms to the ICAO SSP framework. To download the latest version click here.
A high level safety issues assessment and related action plan (the safety plan). The Safety Plan is updated every year. Three editions have been issued already:
1st edition, Safety Plan 2011-2014.
2nd edition, Safety Plan 2012-2015.
3rd edition, Safety Plan 2013-2016. A supplementary report focused on the actions owned by the States is also available here. The final list of safety actions for the period 2013-2016 can be downloaded here
For further information about the EASP or to provide feedback and help us improve it, do not hesitate to contact us at easp .at. easa .point. europa .point. eu
The EASp summits
The EASp implementation and review summits consist of face to face meetings attended by the States, the European Commission and the Agency aimed at evaluating how the EASp is being implemented as well as in which ways the approach can be improved to better coordinate efforts; hence making a difference in the way we manage safety in aviation. They check the pulse of the implementation by fostering discussions on relevant matters.
The following summits have been organised: 29/05/2012: 1st EASp summit
16/11/2012: 2nd EASp summit
18/06/2013: 3rd EASp summit
EASp deliverables
Each edition of the EASp, when published, incorporates hyperlinks to the deliverables of the actions it contains (see each year’s Status Report). Those deliverables that are not published anywhere else are listed below:
Action SYS5.6 - Automation Policy (28/05/2013)
Action EME 1.1 - Methodology to Assess Future Risks (11/12/2012)
Action HFP1.1 - European Human Factors Strategy (01/09/2012)
Action SYS5.5 - Training Implementation Policy (31/10/2013)
Action SYS3.9 - NoA Annual Report 2012 (15/04/2013) 3. Current rulemaking status regarding SSP and SMS:
The first opportunity for the Agency to draft regulations in the area of SSP and SMS was offered through the first extension of its remit to cover the areas of Air Operations and Flight Crew Licensing. This process started back in 2006. Among other deliverables it resulted in the development of two distinct sets of requirements for authorities and organisations respectively:
Authority Requirements take due account of the critical elements of a safety oversight system defined by ICAO, thus they support the implementation of SSPs, while serving the standardisation objective set out in the Basic Regulation . They further include elements that are essential for establishing a comprehensive aviation safety management system at EU level, encompassing EU and Member State responsibilities for safety management. Hence, these common authority requirements are directly relevant to the implementation of the European Aviation Safety Programme (EASP).
Organisation Requirements include consolidated general requirements for management systems, designed to embed the ICAO SMS SARPs in a way as to ensure compatibility with existing management systems and to encourage integrated management. The Agency believes that SMS should not be implemented through an additional requirement superimposed onto the existing rules: Imposing a safety management system as a separate element could be interpreted as yet another prescriptive requirement, with the risk that organisations seek to satisfy their competent authority by showing that they have added in their organisation all required prescriptive elements, without effectively embedding safety management into all their processes. The EASA management system requirements fit various organisations, whatever their size, nature or complexity of activities and whatever business model they follow, thus catering for proportionate application.
For the different technical areas these general Authority and Organisation Requirements are complemented with more specific requirements (for example: flight data monitoring requirements for air operators). These general Authority and Organisation Requirements have been designed to set the standard for implementing streamlined requirements for all areas within the Agency's remit. In particular, the common management system requirements constitute a single safety management framework for all approved organisations within the scope of the Basic Regulation. Considering the different historical backgrounds of the different aviation domains within the EU (e.g. airworthiness and air operations with a similar background, whereas ATM/ANS comes from different background) harmonisation of the existing regulatory material to align with this framework cannot be achieved in the short term.
Basic Regulation (EC) No 216/2008
Commission Regulation (EU) No 748/2012
Commission Regulation (EC) No 2042/2003
Commission Regulation (EC) No 290/2012
Commission Regulation (EC) 965/2012
ATM/ANS Commission Regulation (EC) No 691/2010 Commission Regulation (EC) No 1034/2011
Commission Regulation (EC) No 1035/2011
NPA 2011-20
Airworthiness (initial and continuing)
The existing authority and organisation requirements as defined in Sections B and A respectively of Regulations (EU) No 748/2012 (superseding Regulation (EC) No 1702/2003) and Regulation (EC) No 2042/2003 have not yet been amended to transpose the generally applicable ARs and ORs developed for aircrew and air operations. This transposition is currently being processed through on-going rulemaking projects:
Task: MDM.060 addresses initial airworthiness (Commission Regulation (EC) No 748/2012) and will focus on introduction of safety management principles into "Part-21" (Annex to Regulation 748/2012). MDM.060 combines four rulemaking tasks on two subjects: Level of Involvement (LOI) of the Agency in product certification (RMT.0262 (IR) + RMT.0611(AMC/GM)) and Safety Management System (SMS) for Design and Manufacturing organisations (RMT.0550 (IR) + RMT.0612(AMC/GM)). The ToRs, together with a concept paper have been published on the EASA website (cf. ToR and Concept Paper MDM.060). A Notice of Proposed Amendment (NPA) No.1 for LOI will contain draft implementing rules only and will be published in 2013/Q4. NPA No. 2 for with AMC/GM material for LOI will be published later in 2014 after completion of pilot certification projects to validate the LOI concept and provide AMC/GM material. NPA No.3 for SMS covering both the implementing rules and AMC/GM material is planned to be published 2014/Q4 and will build upon the results of SMS pilot projects. Task: MDM.055 addresses continuing airworthiness (Commission Regulation (EC) No. 2042/2003) and will focus on "Part-M", "Part-145" and "Part-147", meaning safety management in the area of maintenance organisations, continuing airworthiness management organisations and maintenance training organisations. A first Notice of Proposed Amendment (NPA) with changes to "Part-M" and "Part-145" has been published (cf. NPA 2013-01). A second NPA (cf. NPA 2013-19) covering “Part-66” and “Part-147” has been published in October 2013 and will be open for consultation until 10 January 2014.
Aircrew (flight crew and cabin crew)
The amending Regulation defining Authority and Organisation Requirements for civil aviation aircrew (Regulation (EC) No 290/2012) was published in March 2012, following EASA Opinion 03/2011. The organisation requirements encompassing the SMS elements apply to:
approved training organisations (ATOs), i.e. all organisations providing training for commercial and/or private licences in accordance with the EASA rules on flight crew licensing, as well as organisations engaged in flight test training. all holders of a Flight Simulation Training Device (FSTD) qualification certificate
all aero-medical centres. Member States may decide not to apply the new provisions until up to one year after entry into force of the Regulation (which provides an "opt-out" possibility until 08 April 2013). Additional transition measures are applicable for training organisations providing training for private licences only, as well as for training organisations providing flight test training only: These organisations need to comply by 08 April 2015 latest. All organisations whose certificates are "grandfathered" under the new rules need to show compliance with the new requirements by 08 April 2014 latest.
A text comparison between the ICAO Annex 6 SMS framework and the EASA management system provisions is available here (starting on page 8).
Commission Regulation (EU) No 965/2012 defining Authority, Organisation and Technical Requirements for air operations entered into force on 28 October 2012. The Regulation, as last amended by Regulation (EU) No 800/2013 covers only commercial air transport (CAT) with aeroplanes and helicopters, non-commercial operations of Complex Motor-powered Aircraft (NCC), commonly referred to as “business aviation” and non-commercial operations of non-Complex Motor-Powered Aircraft (NCO). It will subsequently be amended to also address CAT A-A operations as well as CAT with sailplanes and balloons and specialised operations (aerial work). The organisation requirements encompassing the SMS elements will apply to:
all operators who are required to hold an AOC / organisation certificate under the new EU rules. all operators who will be required to declare their activity under the new EU rules (non-commercial operations of CMPA) Regarding the first package of the rules related to CAT, Member States may decide not to apply the new provisions until 28 October 2014. As for the area of aircrew, operators whose certificates are "grandfathered" under the new rules will need to show compliance, including adapting their management system, no later than two years after the entry into force of the Regulation (28 October 2014).
Regarding the second package of the rules related to NCC and NCO, Members States may decide not to apply the new provisions, including the management system requirements applicable to operators required to declare their activities (NCC), until 25 August 2016.
Commission Regulation (EU) No 965/2012
AMCs/GM to Annex III “Part-ORO” Organisation Requirements for Air Operations (Consolidated version including Amendment 2 dated 23 August 2013)
ATM/ANS (Air traffic management/Air navigation services): Following the second extension of the Agency's remit to the areas of Air Traffic Management, Air Navigation Services and Aerodromes a number of European Union regulations building upon the former Single European Sky Regulations (which were built upon EUROCONTROL ESARRs (Safety Regulatory Requirements) have been issued. The most relevant ones in relation to SMS and SSP implementation for ATM/ANS are listed below: Regulation (EC) No 1035/2011 "Common requirements for the provision of air navigation services", mandates Air Traffic Services and Communication, Navigation and Surveillance (CNS) providers to have a Safety Management and to all Air Navigation Service providers to implement a Quality Management System. For the QMS requirement the Regulation recognises an EN ISO 9001 certificate covering the air navigation services of the provider as a sufficient means of compliance. Under this Regulation service providers may integrate safety, security and quality management systems. In the future, this Regulation will be amended to align with the draft ICAO Annex 19 and as applicable with the management system requirements developed for air crew and air operations.
Regulation (EU) No 1034/2011 "Safety oversight in air traffic management and air navigation services" defines the corresponding requirements for competent authorities in the field of ATM/ANS. This Regulation sets out specific requirements for annual safety oversight reporting and monitoring and assessment of the levels of safety achieved.
Regulation (EC) 691/2010 "Performance Scheme for Air Navigation Services and Network functions", which is closely linked with the Single European Sky (SES) project. This Regulation defines four Key Performance areas and corresponding indicators: Environment, Capacity, Cost-efficiency and Safety. It further creates an EU Performance Review Board (PRB) to implement and monitor the performance scheme. The EU Commission and the PRB shall coordinate with EASA on the definition and monitoring of the safety Key Performance Indicators (KPIs) and on all safety aspects of the performance scheme. The first reference period covers 1 January 2012 to 31 December 2014. Aerodromes: The EU rules on "Authority, Organisation and Operations Requirements for Aerodromes" have been published with Opinion 01/2013. The rules foresee that aerodrome operators of such aerodromes that will require certification shall implement and maintain a management system that includes a safety management system. These provisions are largely based on the organisation requirements developed for aircrew and air operations. Transition measures will be provided. Until the entry into force of the corresponding EU Regulation the national rules which are in place at the level of the different Member States will continue to apply.
4. Safety Management at the global level
With safety management becoming the standard for aviation safety worldwide, it is most beneficial for the international community to harmonise safety management activities, collaborate on common topics of interest and share lessons learned. To garner these benefits, the FAA along with the Agency, ICAO and TCCA have initiated a Safety Management International Collaboration Group (SM ICG). learn more about SM ICG