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International level
10.3.3 At the international level, the ICAO Universal Safety Oversight Audit Programme (USOAP)
(described in 10.4) monitors the safety performance of all Contracting States. International organizations,
such as IATA, also engage in the safety oversight of airlines through an audit programme.
State level
10.3.4 At the State level, effective safety oversight can be maintained through a mix of some of the
following activities:
a) conducting no-notice inspections to sample the actual performance of various aspects of the
national aviation system;
b) conducting formal (scheduled) inspections that follow a protocol which is clearly understood by the
organization being inspected;
c) discouraging non-compliant behaviour through enforcement actions (sanctions or fines);
d) monitoring quality of performance associated with all licensing and certification applications;
e) tracking the safety performance of the various sectors of the industry;
f) responding to occasions warranting extra safety vigilance (such as major labour disputes, airline
bankruptcies, and rapid expansion or contraction of activity); and
g) conducting formal safety oversight audits of airlines or service providers such as ATC, approved
maintenance organizations, training centres and airport authorities.
Organizational level
10.3.5 The size and complexity of the organization will determine the best methods for establishing
and maintaining an effective safety performance monitoring programme. Organizations providing adequate
safety oversight employ some or all of the following methods:
a) Their first-line supervisors maintain vigilance (from a safety perspective) by monitoring day-to-day
activities.
b) They regularly conduct inspections (formal or informal) of day-to-day activities in all safety-critical
areas.
Chapter 10. Safety Performance Monitoring 10-5
c) They sample employees’ views on safety (from both a general and a specific point of view) through
safety surveys.
d) They systematically review and follow up on all reports of identified safety issues.
e) They systematically capture data which reflect actual day-to-day performance (using programmes
such as FDA, LOSA and NOSS).
f) They conduct macro-analyses of safety performance (safety studies).
g) They follow a regular operational audit programme (including both internally and externally
conducted safety audits).
h) They communicate safety results to all affected personnel.
Inspections
10.3.6 Perhaps the simplest form of safety oversight involves carrying out informal “walk-arounds” of
all operational areas of the organization. Talking to workers and supervisors, witnessing actual work
practices, etc. in a non-structured way provides valuable insights into safety performance “at the coal face”.
The resulting feedback should help to fine-tune the safety management system (SMS).
10.3.7 To be of value to the organization, the focus of an inspection should be on the quality of the
“end product”. Unfortunately, many inspections simply follow a tick-box format. Using a tick-box format may
be helpful for verifying compliance with particular requirements, but it is less effective for assessing systemic
safety risks. Alternatively, a checklist can be used as a guide to help ensure that parts of the operation are
not overlooked.
10.3.8 Management and line supervisors may also conduct safety inspections to assess adherence to
organizational requirements, plans and procedures. However, such inspections may only provide a spot
check of the operations, with little potential for systemic safety oversight.
Surveys
10.3.9 Surveys of operations and facilities can provide management with an indication of the levels of
safety and efficiency within its organization. Understanding the systemic hazards and inherent risks
associated with everyday activities allows an organization to minimize unsafe acts and respond proactively
by improving the processes, conditions and other systemic issues that lead to unsafe acts. Safety surveys
are one way to systematically examine particular organizational elements or the processes used to perform
a specific operation — either generally or from a particular safety perspective. They are particularly useful in
assessing attitudes of selected populations, e.g. line pilots for a particular aircraft type, or ATCOs working a
particular position.
10.3.10 In attempting to determine the underlying hazards in a system, surveys are usually
independent of routine inspections by government or company management. Surveys completed by
operational personnel can provide important diagnostic information about daily operations. They can provide
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Safety Management Manual (SMM) 安全管理手册(67)
