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appropriate analytical tools. The closed loop process of safety management also requires feedback to
ensure that management can test the validity of its decisions and assess the effectiveness of their
implementation. (Chapter 9 provides guidance on safety analysis.)
Safety oversight
5.3.11 As mentioned in 5.3.1 c), the term safety oversight refers to the activities of a State under its
safety programme, while safety performance monitoring refers to the activities of an operator or service
provider under its SMS.
5.3.12 Safety oversight or safety performance monitoring activities are an essential component of an
organization’s safety management strategy. Safety oversight provides the means by which a State can verify
how well the aviation industry is fulfilling its safety objectives.
5.3.13 Some of the requirements for a safety performance monitoring system will already be in place
in many organizations. For example, States would normally have regulations relating to mandatory reporting
of accidents and incidents.
Chapter 5. Basics of Safety Management 5-9
5.3.14 Identifying weaknesses in the system’s defences requires more than just collecting
retrospective data and producing summary statistics. The underlying causes of reported occurrences are not
necessarily immediately apparent; therefore, investigation of safety occurrence reports and any other
information concerning possible hazards should go hand in hand with safety performance monitoring.
5.3.15 The implementation of an effective safety oversight programme requires that States and
organizations:
a) determine relevant safety performance indicators (see 5.3.17 to 5.3.21);
b) establish a safety occurrence reporting system;
c) establish a system for the investigation of safety occurrences;
d) develop procedures for the integration of safety data from all available sources; and
e) develop procedures for the analysis of the data and the production of periodic safety performance
reports.
5.3.16 Chapter 10 provides guidance on the safety oversight function.
Safety performance indicators and targets
5.3.17 As described in 5.3.7 to 5.3.10, the safety management process is a closed loop. The process
requires feedback to provide a baseline for assessing the system’s performance so that necessary
adjustments can be made to effect the desired levels of safety. This requires a clear understanding of how
results are to be evaluated. For example, what quantitative or qualitative indicators will be employed to
determine that the system is working. Having decided on the factors by which success can be measured,
safety management requires the setting of specific safety goals and objectives (targets). For the purposes of
this manual, the following terminology is used:
• Safety performance indicator. A measure (or metric) used to express the level of safety
performance achieved in a system.
• Safety performance target. The required level of safety performance for a system. A safety
performance target comprises one or more safety performance indicators, together with desired
outcomes expressed in terms of those indicators.
5.3.18 A distinction should be made between the criteria used to assess operational safety
performance through monitoring, and the criteria used for the assessment of planned new systems or
procedures. The process for the latter is known as safety assessments (see Chapter 13).
Safety performance indicators
5.3.19 In order to set safety performance targets, it is necessary to first decide on appropriate safety
performance indicators. Safety performance indicators are generally expressed in terms of the frequency of
occurrence of some event causing harm. Typical measures that could be used include:
a) aircraft accidents per 100 000 flight hours;
b) aircraft accidents per 10 000 movements;
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c) fatal aircraft accidents per year; and
d) serious incidents per 10 000 flight hours.
5.3.20 There is no single safety performance indicator that is appropriate in all circumstances. The
indicator chosen to express a safety performance target must be matched to the application in which it will
be used, so that it will be possible to make a meaningful evaluation of safety in the same terms as those
used in defining the safety performance target.
5.3.21 The safety performance indicator(s) chosen to express global, regional and national targets will
not generally be appropriate for application to individual organizations. Since accidents are relatively rare
events, they do not provide a good indication of safety performance — especially at the local level. Even at
the global level, accident rates vary considerably from year to year. An increase or decrease in accidents
　
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