部中关于SMS内容的修订意见

135部中关于SMS内容的修订意见2007年11月8日立法目的修改内容2006年3月14日，国际民航组织（ICAO）理事会通过了对公约附件6航空器运行的第30次修订，将于2006年11月23日生效。本次修订的内容之一 ：将3.2节 “事故预防与飞行安全大纲”的要求修改为“安全管理”的要求。变化的主要条款为：“3.2Safety management3.2.1States shall establish a safety programme in order to achieve an acceptable level of safety in the operation of aircraft.3.2.2The acceptable level of safety to be achieved shall be established by the State(s) concerned.Note. Guidance on safety programmes is contained in the Safety Management Manual (SMM) (Doc9859), and the definition of acceptable levels of safety is contained in Attachment E to Annex 11.3.2.3Recommendation. States should require, as part of their safety programme, that an operator implement a safety management system acceptable to the State of the Operator that, as a minimum:a)identifies safety hazards;b)ensures that remedial action necessary to maintain an acceptable level of safety is implemented;c)provides for continuous monitoring and regular assessment of the safety level achieved; andd)aims to make continuous improvement to the overall level of safety.3.2.4From 1 January 2009, States shall require, as part of their safety programme, that an operator implement a safety management system acceptable to the State of the Operator that, as a minimum:a)identifies safety hazards;b)ensures that remedial action necessary to maintain an acceptable level of safety is implemented;c)provides for continuous monitoring and regular assessment of the safety level achieved; andd)aims to make continuous improvement to the overall level of safety.3.2.5A safety management system shall clearly define lines of safety accountability throughout the operators organization, including a direct accountability for safety on the part of senior management.Note. Guidance on safety management systems is contained in the Safety Management Manual (SMM) (Doc 9859).3.2.6Recommendation.An operator of an aeroplane of a certificated take-off mass in excess of 20000 kg should establish and maintain a flight data analysis programme as part of its safety management system.3.2.7An operator of an aeroplane of a maximum certificated take-off mass in excess of 27000 kg shall establish and maintain a flight data analysis programme as part of its safety management system.Note. An operator may contract the operation of a flight data analysis programme to another party while retaining overall responsibility for the maintenance of such a programme.3.2.8A flight data analysis programme shall be non-punitive and contain adequate safeguards to protect the source(s) of the data.Note 1.Guidance on flight data analysis programmes is contained in the Safety Management Manual (SMM) (Doc9859).Note 2. Legal guidance for the protection of information from safety data collection and processing systems is contained in Annex 13, Attachment E.3.2.9An operator shall establish a flight safety documents system, for the use and guidance of operational personnel, as part of its safety management system.Note. Guidance on the development and organization of a flight safety documents system is provided in Attachment H.”ICAO Doc 9859 安全管理手册第一章 1.4.5因此，根据附件6、11 和14 的规定，各国应规定经营人、维修组织、空中交通服务提供者和验证合格的机场经营人执行国家认可的安全管理体系。此种安全管理体系至少应：a) 确定实际和潜在的安全危害；b) 为了缓减风险/危险，确保实施必要的纠正措施；c) 对所达到的安全水平进行持续监督和定期评估。1.4.6经国家认可的一个组织的安全管理体系还应明确划分安全责任界线，包括高层管理者应对安全直接承担的责任。因此，SMS应当在我国民用航空运行规章中体现出来，作为法律条文为航空运营人所遵守，并作为进一步制定咨询通告的依据。目前135部尚无此要求，此次修改拟修改135.11条款，并作为进一步制定咨询通告的依据。CCAR135.11（a）（3）改为（4）增加 CCAR135.11（a）（3）建立安全管理体系，并且能够按照本规则的规定实施系统安全管理。申请人应当证明：（i）安全管理体系至少具备了下列功能：(A) 识别影响安全的危险源；(B) 保证采取必要的纠正措施，保持可接受的安全水平；(C) 对达到的安全水平进行持续的监督和定期的评估；(D) 持续改进整体安全水平。（ii）安全管理体系明确地界定了整个组织内的安全责任界线，包括高层管理者应对安全直接承担的责任。（iii）作为安全管理体系的一部分，最大审定起飞质量超过27 000千克的定翼飞机的申请人制订并保持了飞行数据分析计划。飞行数据分析计划是非惩罚性的，并包含保护数据来源的妥当防护措施。（iv）作为安全管理体系的一部分，制订了供运行人员使用和为其提供指导的飞行安全文件系统。DOC9858第12章 建立安全管理系统 步骤三安全经理(SM)建立安全管理体系的首要任务之一是任命一名安全经理。安全管理活动需要一个主管人(或领军人物) 作为实现整个组织的安全所必需的系统变革的驱动力。在大多数组织中，实现该功能的最好方式是任命一名专职的安全经理作为组织管理班子的一员。其职责包括提高安全意识并确保安全管理工作像任何其他工作一样在整个组织内受到同等水平的重视。然而，在一些小组织内，安全经理的任务可能就被划归到本组织经理的职责范围内了。安全管理是一项由安全经理支持的并由每一名一线经理共同承担的责任。具体的安全活动由一线经理负责。属于一线经理负责的，高层管理者不要追究安全经理的责任；安全经理倒是应负责对所有一线经理提供有效的员工支持，以确保本组织安全管理体系的成功。虽然可以让安全经理对安全管理体系自身的任何缺陷承担责任，但是不应当就本组织的安全绩效对安全经理实行问责。最好安全经理除了负责安全以外没有任何其他职责。在有理由设置专职安全经理职位的大型组织中通常就是如此。在较小的组织中，安全经理可能要由一名兼有其他职务的经理负责。在这种情况下，为避免可能的利益冲突，比较妥当的做法是，负责安全管理的人不再对任何运行或工程方面负有直接的责任。无论安全经理的职位是专职的，还是只作为指定经理责任的一部分，这个职位的任务和责任都是一样的。无论如何，安全经理都是组织整个管理班子的一员，需要位居足够高的管理层次，以便能够直接与其他高层管理人员沟通。安全经理应对管理安全管理体系运行的各方面负责。其责任包括确保安全文件准确地反映当前的环境，监控纠正措施的有效性，提交定期安全绩效报告，以及向首席执行官、高层管理人员和其他与安全事务相关的人员提出独立的建议。FAR 119.65 Management personnel required for operations conducted under part 121 of this chapter. (a) Each certificate holder must have sufficient qualified management and technical personnel to ensure the highest degree of safety in its operations. The certificate holder must have qualified personnel serving full-time in the following or equivalent positions:(1) Director of Safety.(2) Director of Operations.(3) Chief Pilot.(4) Director of Maintenance.(5) Chief Inspector.FAA Order 830011.10 Appendix 3HBAT 99-19 and HBAW 99-16 - 14 CFR Part 121 and 135 Air Carrier Safety Departments, Programs, and the Director of Safety4. DIRECTOR OF SAFETY.B. QUALIFICATIONS.(1) Training. It is highly desirable that the Director of Safety complete an aviation safety education program consistent with the positions responsibilities. If an individual has not completed such a program prior to appointment, the Director of Safety should attend one to supplement his/her experience. Participation in industry safety meetings, conferences or schools is considered an essential part of the continuing education of the Director of Safety. Training should also include such subject areas as:(a) Corporate safety culture.(b) The role of the safety director as advisor to Senior management officials.(c) Safety philosophy.(d) Safety data collection and analysis programs.(e) Risk management.(f) Incident/accident prevention and investigation.(g) Human factors.(2) Experience. The person assigned as the Director of Safety should have extensive operational experience and professional qualifications in aviation. This would include the knowledge and understanding of the following:(a) Aviation safety programs.(b) Aviation safety standards.(c) Safe aviation operating practices.(3) Expertise. The person assigned as the Director of Safety should have established professional qualifications. These qualifications may be any of the following:(a) An FAA commercial pilot or airline transport pilot certificate.(b) An FAA mechanics certificate.(c) An FAA aircraft dispatcher certificate.(d) Three years experience in a supervisory position with a part 121 or a scheduled part 135 air carrier.(e) Three years experience in a position comparable to paragraph 4.B.3.(d) above in U.S. military aviation operations.(f) Three years experience in a supervisory position with a U.S. Government department, board, or agency that deals directly with aviation matters.(4) Knowledge. The person assigned as the Director of Safety should have a full understanding of the following materials with respect to the certificate holders operation:(a) The certificate holders operations specifications.(b) The manual required by section 121.133.(c) All appropriate maintenance and airworthiness requirements of 14 CFR chapter I (parts 1 through 199).FAA AC 120-59AAIR CARRIER INTERNALEVALUATION PROGRAMSAPPENDIX 1. SAMPLE INTERNAL EVALUATION PROGRAM (IEP) MANUAL(14 CFR PART 121 OPERATOR)(b) DOS Qualifications. The DOS should meet the qualification requirements asoutlined in the Joint Flight Standards Handbook Bulletin for Air Transportation (HBAT) andAirworthiness (HBAW), HBAT 99-19 and HBAW 99-16, 14 CFR Part 121 and 135 Air CarrierSafety Departments, Programs, and the Director of Safety, FAA Order 8400.10, AirTransportation Operations Inspectors Handbook, appendix 3, current edition. The DOS shouldhave extensive operational experience and professional qualifications in aviation. This includesthe knowledge and understanding of the following:(i) Aviation safety programs.(ii) Aviation safety standards.(iii) Safe aviation operating practices.(c) DOS Expertise. DOS should have established professional qualifications. Thesequalifications may be any of the following:(i) An FAA commercial pilot or airline transport pilot certificate.(ii) An FAA mechanic certificate.(iii) An FAA aircraft dispatcher certificate.(iv) Three years experience in a supervisory position with a 14 CFR part 121 or ascheduled 14 CFR part 135 air carrier, or 3 years U.S. military aviation operations experience ina comparable position.(v) Three years experience in a supervisory position with a U.S. Governmentdepartment, board, or agency that deals directly with aviation matters.(d) DOS Knowledge. The DOS should have a full understanding of the followingmaterials with respect to the airlines operation:(i) The airlines operations specifications.(ii) The manual required by 14 CFR part 121, section 121.133.(iii) All appropriate maintenance and airworthiness requirements of 14 CFRchapter I (parts 1 through 199).增加CCAR135.27(a)（4）安全总监（4）安全总监，负责独立地对合格证持有人的运行及安全管理过程进行监督，并直接向总经理报告，使之符合本规则的要求。增加CCAR135.27(F)合格证持有人应当建立独立于运行体系并向安全总监负责的安全监督机构，负责持续监督和定期评估、调查安全相关事件、就安全有关事务提出建议、组织员工的安全教育等等。CCAR135.29(d)改为（e）。增加CCAR135.29(d)担任本规则第135.27条(a)（4）款中安全总监的人员应当符合下列条件：（1）掌握安全管理知识、民航安全相关规章、标准及安全运行程序；（2）持有下列专业执照之一或最近6年内在合格证持有人或局方的安全监督岗位工作3年以上：（i）商用驾驶员执照；（ii）维修人员执照；（iii）飞行签派员执照。（3）理解合格证持有人的运行规范、运行手册及其他相关要求；（4）具有较强的分析解决问题能力和良好的沟通技能。附件6第二部分中的定义安全管理体系 管理安全的系统作法，包括必要的组织结构、问责制、政策和程序。飞行数据分析 为提高飞行运行的安全而对记录的飞行数据加以分析的过程。飞行安全文件系统 由经营人制订的一套相关文件，汇集并编制有飞行和地面运行必需的资料，并且至少包含有运行手册和经营人维修控制手册。CCAR135 附件A 定义本条增加：安全管理体系：管理安全的系统作法，包括必要的组织结构、问责制、政策和程序。飞行数据分析：为提高飞行运行的安全而对记录的飞行数据加以分析的过程。飞行安全文件系统：由合格证持有人制订的一套相关文件，汇集并编制有飞行和地面运行必需的资料，并且至少包含有运行手册和维修工程管理手册。