Extraordinary B 2615

Federal Republic of Nigeria

Official Gazette
No. 175 Lagos -14th December, 2015 Vol. 102
Government Notice No. 128

The following is published as supplement to this Gazette :

S. I. No. Short Title Page
36 Part 20—Safety Management .. .. .. .. .. .. .. B2617-2637

Printed and Published by The Federal Government Printer, Lagos, Nigeria

FGP 36/122015/650
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NIGERIA CIVIL AVIATION REGULATIONS

PART 20— SAFETY MANAGEMENT
INTRODUCTION
Part 20 of the Nigeria Civil Aviation Regulations addresses the Safety
Managementre quirements and meets the standards contained in ICAO
Annex 19.
ICAO Annex 19 consolidates material from existing Annexes regarding
SSP and safety management systems (SMSs), as well as related elements
including the collection and use of safety data and State safety oversight
activities.
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NIGERIA CIVIL AVIATION REGULATIONS

PART 20— SAFETY MANAGEMENT

ARRANGEMENT OF CONTENT
Contents
20.1. GENERAL
20.1.1.1. Applicability.
20.1.1.2. Definitions .
20.1.1.3. Abbreviations.
20.2.1. State Safety Programme.
20.2.2. State Safety Oversight.
20.3.1. Safety Management System.
20.3.2. International General Aviation—Aeroplanes.
20.4.1. Safety Data Collection Reporting Systems.
20.4.2. Safety Data Analysis.
20.4.3. Safety Data Protection.
20.4.4. Safety Information Exchange.
IMPLEMENTING STANDARDS (IS)—SAFETY MANAGEMENT
IS 20.2.2.1. STATE SAFETY OVERSIGHT SYSTEM
1. Primary Aviation Legislation.
2. Specific Operating Regulations.
3. State System And Functions.
4. Qualified Technical Personnel.
5. Technical Guidance, Tools and Provision of Safety-Critical Information.
6. Licensing, Certification, Authorization and/or Approval Obligations.
7. Surveillance Obligations.
8. Resolution of Safety Issues.
IS. 20.3.1.1. FRAMEWORK FOR A SAFETY MANAGEMENT SYSTEM (SMS)
1. Safety Policy and Oobjectives.
2. Safety Risk Management.
3. Safety Assurance.
4. Safety Promotion.
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IS. 20.4.3.1. LEGAL GUIDANCE FOR THE PROTECTION OF INFORMATION FROM SAFETY
DATA COLLECTION AND PROCESSING SYSTEMS
1. Introduction.
2. General Principles.
3. Principles of protection.
4. Principles of exception.
5. Public disclosure.
6. Responsibility of the custodian of safety information.
7. Protection of recorded information.
 B 2621
S.I. No. 36 of 2015
.
NIGERIA CIVIL AVIATION REGULATIONS
PART 20— SAFETY MANAGEMENT
20.1. GENERAL
20.1.1.1.—(a) Part 20 of these Regulations shall be applicable in Nigeria Applicability.
to safety management functions related to, or in direct support of, the safe
operation of aircraft.
20.1.1.2.—(a) For the purpose of Part 20 of these Regulations, the Definitions.
following definitions shall apply :
(1) Accident.— An occurrence associated with the operation of an
aircraft which, in the case of a manned aircraft, takes placebetween the
time any person boards the aircraft with the intention of flight until such
time as all such persons have disembarked, or in the case of an unmanned
aircraft, takes place between the time the aircraft is ready to move with
thepurpose of flight until such time as it comes to rest at the end of the
flight and the primary propulsion system is shut down, in which :
(i) a person is fatally or seriously injured as a result of :
(A) being in the aircraft, or
(B) direct contact with any part of the aircraft, including parts which
have become detached from the aircraft, or
(C) direct exposure to jet blast,except when the injuries are from natural
causes, self-inflicted or inflicted by other persons, or when the injuries areto
stowaways hiding outside the areas normally available to the passengers
and crew ; or
(ii) the aircraft sustains damage or structural failure which :
(A) adversely affects the structural strength, performance or flight
characteristics of the aircraft, and
(A) would normally require major repair or replacement of the affected
component,except for engine failure or damage, when the damage is limited to
a single engine, (including its cowlings oraccessories), to propellers, wing tips,
antennas, probes, vanes, tires, brakes, wheels, fairings, panels, landing geardoors,
windscreens, the aircraft skin (such as small dents or puncture holes), or for
minor damages to main rotorblades, tail rotor blades, landing gear, and those
resulting from hail or bird strike (including holes in the radome) ; or C)
(iii) the aircraft is missing or is completely inaccessible.
Note 1.— For statistical uniformity only, an injury resulting in death
within thirty days of the date of the accident isclassified, by ICAO, as a
fatal injury.
B 2622
Note 2.—An aircraft is considered to be missing when the official
search has been terminated and the wreckage has not been located.
Note 3.—The type of unmanned aircraft system to be investigated is
addressed in 5.1 of Annex 13.
Note 4.—Guidance for the determination of aircraft damage can be
found in Attachment F of Annex 13.
(2) Aeroplane.—A power-driven heavier-than-air aircraft, deriving its
lift in flight chiefly from aerodynamic reactions on surfaceswhich remain
fixed under given conditions of flight.
(3) Aircraft.—Any machine that can derive support in the atmosphere
from the reactions of the air other than the reactions of theair against the
earth's surface.
(4) Helicopter.—A heavier-than-air aircraft supported in flight chiefly
by the reactions of the air on one or more power-driven rotors on
substantially vertical axes.
Note.—Some States use the term "rotorcraft" as an alternative to
"helicopter".
(5) Incident.—An occurrence, other than an accident, associated with
the operation of an aircraft which affects or could affect the safety of
operation.
Note.—The types of incidents which are of interest for safety-related
studies include the incidents listed in Annex 13, Attachment C.
(6) Industry codes of practice.—Guidance material developed by an
industry body, for a particular sector of the aviation industry to comply with
the requirements of the International Civil Aviation Organization's Standards
and Recommended Practices, other aviation safety requirements and the
best practices deemed appropriate.
Note.—Some States accept and reference industry codes of practice
in the development of regulations to meet therequirements of Annex
19, and make available, for the industry codes of practice, their sources
and how they may be obtained.
(7) Operational personnel.—Personnel involved in aviation activities
who are in a position to report safety information.
Note.—Such personnel include, but are not limited to : flight crews
; air traffic controllers ; aeronautical stationoperators ; maintenance
technicians ; personnel of aircraft design and manufacturing
organizations ; cabin crews ; flight dispatchers, apron personnel and
ground handling personnel.
(8) Safety.—The state in which risks associated with aviation activities,
related to, or in direct support of the operation of aircraft, are reduced and
controlled to an acceptable level.
 B 2623
(9) Safety management system (SMS).—A systematic approach to
managing safety, including the necessary organizationalstructures,
accountabilities, policies and procedures.
(10) Safety performance.—A State or a service provider's safety
achievement as defined by its safety performance targets andsafety
performance indicators.
(11) Safety performance indicator.—A data-based parameter used for
monitoring and assessing safety performance.
(12) Safety performance target.—The planned or intended objective
for safety performance indicator(s) over a given period.
(13) Safety Risk.—The predicted probability and severity of the
consequences or outcomes of a hazard.
(14) Serious injury.—An injury which is sustained by a person in an
accident and which :
(i) requires hospitalization for more than 48 hours, commencing within
seven days from the date the injury was received ; or
(ii) results in a fracture of any bone (except simple fractures of fingers,
toes or nose) ; or
(iii) involves lacerations which cause severe haemorrhage, nerve,
muscle or tendon damage ; or
(iv) involves injury to any internal organ ; or
(v) involves second or third degree burns, or any burns affecting more
than 5 per cent of the body surface ; or
(vi) involves verified exposure to infectious substances or injurious
radiation.
(15) State of Design.—The State having jurisdiction over the organization
responsible for the type design.
(16) State of Manufacture.—The State having jurisdiction over the
organization responsible for the final assembly of the aircraft.
(17) State of the Operator.—The State in which the operator's principal
place of business is located or, if there is no such place ofbusiness, the
operator's permanent residence.
(18) State Safety Programme (SSP).—An integrated set of regulations
and activities aimed at improving safety.
20.1.1.3.—(a) The following abbreviations are used in Part 20 : Abbreviations.
(1) ADREP Accident/Incident Data Reporting
(2) AIS Aeronautical Information Services
(3) ATS Air Traffic Services
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(4) CNS Communications, Navigation and Surveillance
(5) CVR Cockpit Voice Recorder
(6) MET Meteorological Services
(7) PANS Procedures for Air Navigation Services
(8) SAR Search and Rescue
(9) SARPs Standards and Recommended Practices
(10) SDCPS Safety Data Collection and Processing Systems
(11) SMM Safety Management Manual
(12) SMP Safety Management Panel
(13) SMS Safety Management System
(14) SSP State Safety Programme
20.2.1. STATE SAFETY PROGRAMME
20.2.1.1. The Authority will establish an SSP for the management of
safety in Nigeria, in order to achieve an acceptable level of safety performance
in civil aviation. The SSP shall include the following components :
(a) State safety policy and objectives ;
(b) State safety risk management ;
(c) State safety assurance ; and
(d) State safety promotion.
20.2.1.2. The acceptable level of safety performance to be achieved
will be established by the Authority.
20.2.1.3. As part of its SSP, the Authority will require that the following
service providers under its authority implement an SMS :
(a) approved training organizations in accordance with Part 3 of these
Regulations that are exposed to safety risks related to aircraft operations
during the provision of their services ;
(b) operators of aeroplanes or helicopters authorized to conduct
commercial air transport, in accordance with Part 9 of these Regulations;
Note.—When maintenance activities are not conducted by an
approved maintenance organization in accordance with Part 6 of these
Regulations, but under an equivalent system as in Part 9 of these
Regulations, they are included in the scope of the operator's SMS.
(c) approved maintenance organizations providing services to operators
of aeroplanes or helicopters engaged incommercial air transport, in
accordance with Part 6 of these Regulations ;
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(d) organizations responsible for the type design or manufacture of
aircraft, in accordance with Part 5 of these Regulations ;
(e) air traffic services (ATS) providers in accordance with Part 14 of
these Regulations.
Note.—The provision of AIS, CNS, MET and/or SAR services, when
under the authority of an ATS provider, are included in the scope of the
ATS provider's SMS. When the provision of AIS, CNS, MET and/or SAR
services are wholly or partially provided by an entity other than an ATS
provider, the related services that come under the authority of the ATS
provider, or those aspects of the services with direct operational
implications, are included in the scope of the ATS provider's SMS ; and
(f) operators of certified aerodromes in accordance with Part 12 of these
Regulations.
20.2.1.4. As part of its SSP, the Authority will require that international
general aviation operators of large or turbojet aeroplanes in accordance with
Part 8 of these Regulations, implement an SMS.
( Note.—International general aviation operators are not considered
to be service providers in the context of these Regulations.)
20.2.2. STATE SAFETY OVERSIGHT
20.2.2.1. The Authority will establish and implement a safety oversight
system in accordance with IS. 20.2.2.1.
20.3.1. SAFETY MANAGEMENT SYSTEM
20.3.1.1. Except as required in 20.3.2 the SMS of a service provider
shall :
(a) be established in accordance with the framework elements contained
in IS. 20.3.1.1. ; and
(b) be commensurate with the size of the service provider and the
complexity of its aviation products or services.
20.3.1.2. The SMS of an approved training organization, authorised in
accordance with Part 3 of these Regulations, that is exposed to safety risks
related to aircraft operations during the provision of its services shall be made
acceptable to the Authority.
20.3.1.3. The SMS of a certified operator of aeroplanes or helicopters
authorized to conduct commercial air transport, in accordance with Part 9 of
these Regulations, shall be made acceptable to the Authority, as applicable.
20.3.1.4. The SMS of an approved maintenance organization providing
services to operators of aeroplanes or helicopters engaged in commercial air
transport, in accordance with Part 6 of these Regulations, shall be made
acceptable to the Authority.
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20.3.1.5. The SMS of an organization responsible for the type design of
aircraft, in accordance with Part 5 of these Regulations, shall be made
acceptable to the Authority or the State of Design, as applicable.
20.3.1.6. The SMS of an organization responsible for the manufacture
of aircraft, in accordance with Part 5 of these Regulations, shall be made
acceptable to the Authority or the State of Manufacture, as applicable.
20.3.1.7. The SMS of an ATS provider, in accordance with Part 14 of
these Regulations, shall be made acceptable to the Authority.
20.3.1.8. The SMS of an operator of a certified aerodrome, in accordance
with Part 12 of these Regulations, shall be made acceptable to the Authority.
20.3.2. INTERNATIONAL GENERAL AVIATION—AEROPLANES
20.3.2.1. The SMS of an international general aviation operator,
conducting operations of large or turbojet aeroplanes in accordance with Part
8 of these Regulations, shall be commensurate with the size and complexity of
the operation.
20.3.2.2. The SMS shall as a minimum include :
(a) a process to identify actual and potential safety hazards and assess
the associated risks ;
(b) a process to develop and implement remedial action necessary to
maintain an acceptable level of safety ; and
(c) provision for continuous monitoring and regular assessment of the
appropriateness and effectiveness of safety management activities.
20.4.1. SAFETY DATA COLLECTION—Reporting Systems
20.4.1.1. The Authority shall establish a mandatory incident reporting
system to facilitate collection of information on actual or potential safety
deficiencies.
20.4.1.2. The Authority shall establish a non-punitive voluntary incident
reporting system to facilitate collection of information on actual or potential
safety deficiencies that may not be captured by the mandatory incident reporting
system.
20.4.1.3. Subject to Regulation 20.4.3.1, the authorities responsible for
the implementation of the SSP will have access to appropriate information
available in the incident reporting systems referenced in 20.4.1.1 and 20.4.1.2
to support their safety responsibilities.
Note 1.—In Nigeria, the authorities responsible for the
implementation of the SSP include the Accident investigation Bureau
(AIB).
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20.4.2. SAFETY DATA ANALYSIS
20.4.2.1. The Authority will establish and maintain a safety database to
facilitate the effective analysis of information on actual or potential safety
deficiencies obtained, including that from its incident reporting systems, and to
determine any actions required for the enhancement of safety.
Note.—The term "safety database" may refer to a single or multiple
database(s) and may include the accident and incident database.
Provisions on an accident and incident database are included in Annex
13 - Aircraft Accident and Incident Investigation.
20.4.2.2. The Authority will, following the identification of preventive
actions required to address actual or potential safety deficiencies, implement
these actions and establish a process to monitor implementation and
effectiveness of the responses.
20.4.2.3. The database systems shall use standardized formats to facilitate
data exchange.
Note.—The use of an ADREP-compatible system is to be encouraged.
20.4.3. SAFETY DATA PROTECTION
20.4.3.1. The voluntary incident reporting system referred to in 20.4.1.2
shall be non-punitive and afford protection to the sources of the information.
Note 1.—IS. 20.4.3.1 contains legal guidance for the protection of
information from safety data collection andprocessing systems.
Note 2.—A non-punitive environment is fundamental to voluntary
reporting.
20.4.3.2. The Authorityshall not make available or use safety data
referenced in 20.4.1 or 20.4.2 for other than safety-related purposes, unless
exceptionally, an appropriate authority determines in accordance with the
national legislation, the value of its disclosure or use in any particular instance,
outweighs the adverse impact such action may have on aviation safety.
20.4.4. SAFETY INFORMATION EXCHANGE
20.4.4.1. If the Authority, in the analysis of the information contained in
its database, identifies safety matters considered to be of interest to other
States, the Authority will forward such safety information to them as soon as
possible.
20.4.4.2. The Authority will promote the establishment of safety
information sharing networks among users of the aviation system and will
facilitate the free exchange of information on actual and potential safety
deficiencies.
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IMPLEMENTING STANDARDS (IS)

SAFETY MANAGEMENT
 B 2629

IS 20.2.2.1. STATE SAFETY OVERSIGHT SYSTEM

Note 1.—Guidance on the critical elements of a system that enables
a State to discharge its responsibility for safety oversight is contained in
the Safety Oversight Manual, Part A, The Establishment and Management
of a State's Safety Oversight System (Doc 9734).
Note 2.—The term "relevant authorities or agencies" is used in a
generic sense to include all authorities with aviation safety oversight
responsibility which may be established by the State as separate entities,
such as: Civil Aviation Authorities, Airport Authorities, ATS Authorities,
Accident Investigation Authority, and Meteorological Authority.
Note 3.—Within the context of this appendix the term "service
provider" refers to those organizations listed in Part 20.2.1.3.
1. PRIMARY AVIATION LEGISLATION
1.1. NIGERIA shall promulgate a comprehensive and effective aviation
law, consistent with the size and complexity ofits aviation activity and with the
requirements contained in the Convention on International Civil Aviation, that
enables it to regulate civil aviation and enforce regulations through the relevant
authorities or agencies established for that purpose.
1.2. The aviation law shall provide personnel performing safety oversight
functions access to the aircraft, operations, facilities, personnel and associated
records, as applicable, of service providers.
2. SPECIFIC OPERATING REGULATIONS
2.1. The Authority shall promulgate regulations to address, at a minimum,
national requirements emanating from the primary aviation legislation, for
standardized operational procedures, products, services, equipment and
infrastructures in conformity with the Annexes to the Convention on
International Civil Aviation.
Note.—The term “regulations” is used in a generic sense and includes
but is not limited to instructions, rules, edicts, directives, sets of laws,
requirements, policies and orders.
3. STATE SYSTEM AND FUNCTIONS
3.1. NIGERIA shall establish relevant authorities or agencies, as appropriate,
supported by sufficient and qualifiedpersonnel and provided with adequate
financial resources. Each authority or agency shall have stated safety functions
and objectives to fulfill its safety management responsibilities.
3.2. The Authority shall take necessary measures, such as remuneration
and conditions of service, to ensure that qualified personnel performing safety
oversight functions are recruited and retained.
B 2630

3.3. The Authority shall ensure that personnel performing safety oversight
functions are provided with guidance thataddresses ethics, personal conduct
and the avoidance of actual or perceived conflicts of interest in the performance
of official duties.
3.4. The Authority shall use a methodology to determine its staffing
requirements for personnel performing safety oversight functions, taking into
account the size and complexity of the aviation activities in Nigeria.
4. QUALIFIED TECHNICAL PERSONNEL
4.1. The Authority shall establish minimum qualification requirements
for the technical personnel performing safety oversight functions and provide
for appropriate initial and recurrent training to maintain and enhance their
competence at the desired level.
4.2. The Authority shall implement a system for the maintenance of
training records.
5. TECHNICAL GUIDANCE, TOOLS AND PROVISION OF SAFETY-CRITICAL INFORMATION
5.1. The Authority shall provide appropriate facilities, comprehensive
and up-to-date technical guidance material andprocedures, safety-critical
information, tools and equipment, and transportation means, as applicable, to
the technical personnel to enable them to perform their safety oversight functions
effectively and in accordance with established procedures in a standardized
manner.
5.2. The Authority shall provide technical guidance to the aviation industry
on the implementation of relevant regulations.
6. LICENSING, CERTIFICATION, AUTHORIZATION AND/OR APPROVAL OBLIGATIONS
The Authority shall implement documented processes and procedures to
ensure that personnel and organizations performing anaviation activity meet
the established requirements before they are allowed to exercise the privileges
of a licence, certificate, authorization and/or approval to conduct the relevant
aviation activity.
7. SURVEILLANCE OBLIGATIONS
The Authority shall implement documented surveillance processes, by
defining and planning inspections, audits, and monitoringactivities on a
continuous basis, to proactively assure that aviation licence, certificate,
authorization and/or approval holderscontinue to meet the established
requirements. This includes the surveillance of personnel designated by the
 B 2631
Authority toperform safety oversight functions on its behalf.
8. RESOLUTION OF SAFETY ISSUES
8.1. The Authority shall use a documented process to take appropriate
corrective actions, up to and including enforcement measures, to resolve
identified safety issues.
8.2. The Authority shall ensure that identified safety issues are resolved
in a timely manner through a system which monitors and records progress,
including actions taken by service providers in resolving such issues.
IS. 20.3.1.1. FRAMEWORK FOR A SAFETY MANAGEMENT SYSTEM (SMS)
Note 1.—Guidance on the implementation of the framework for an
SMS is contained in the Safety Management Manual(SMM) (Doc 9859).
Note 2.—Within the context of this appendix, the term "service
provider" refers to those organizations listed in Part 20.2.1.3.
This Implementing Standard specifies the framework for the
implementation and maintenance of an SMS. The framework comprises four
components and twelve elements as the minimum requirements for SMS
implementation :
1. SAFETY POLICY AND OBJECTIVES
1.1. Management commitment and responsibility.
1.2. Safety accountabilities.
1.3. Appointment of key safety personnel.
1.4. Coordination of emergency response planning.
1.5. SMS documentation.
2. SAFETY RISK MANAGEMENT
2.1. Hazard identification.
2.2. Safety risk assessment and mitigation.
3. SAFETY ASSURANCE
3.1. Safety performance monitoring and measurement.
3.2. The management of change.
3.3. Continuous improvement of the SMS.
4. SAFETY PROMOTION
4.1. Training and education.
4.2. Safety communication.
1. SAFETY POLICY AND OBJECTIVES Management
commitment
1.1. The service provider shall define its safety policy in accordance with and
international and national requirements. The safetypolicy shall : responsibility.
B 2632
(a) reflect organizational commitment regarding safety ;
(b) include a clear statement about the provision of the necessary
resources for the implementation of the safety policy ;
(c) include safety reporting procedures ;
(d) clearly indicate which types of behaviours are unacceptable related
to the service provider's aviation activities andinclude the circumstances
under which disciplinary action would not apply ;
(e) be signed by the accountable executive of the organization ;
(f) be communicated, with visible endorsement, throughout the
organization ; and
(g) be periodically reviewed to ensure it remains relevant and
Safety appropriate to the service provider.
Accountabili-
1.2. The service provider shall :
ties.
(a) identify the accountable executive who, irrespective of other functions,
has ultimate responsibility and accountability, on behalf of the
organization, for the implementation and maintenance of the SMS ;
(b) clearly define lines of safety accountability throughout the
organization, including a direct accountability for safetyon the part of senior
management ;
(c) identify the accountabilities of all members of management,
irrespective of other functions, as well as of employees, with respect to the
safety performance of the SMS ;
(d) document and communicate safety responsibilities, accountabilities
and authorities throughout the organization ; and
(e) define the levels of management with authority to make decisions
Appointment regarding safety risk tolerability.
of key
1.3. The service provider shall appoint a safety manager who is responsible
safety
personnel. for the implementation and maintenance of aneffective SMS.

Coordination
of
1.4. The service provider shall ensure that an emergency response plan
emergency
response is properly coordinated with the emergency response plansof those
planning. organizations it must interface with during the provision of its products and
services.
1.5. SMS DOCUMENTATION
1.5.1.The service provider shall develop an SMS implementation plan,
formally endorsed by the organization, thatdefines the organization's approach
to the management of safety in a manner that meets the organization's safety
 B 2633
objectives.
1.5.2. The service provider shall develop and maintain SMS documentation
that describes its :
(a) safety policy and objectives ;
(b) SMS requirements ;
(c) SMS processes and procedures ;
(d) accountabilities, responsibilities and authorities for SMS processes
and procedures ; and
(e) SMS outputs.
1.5.3. The service provider shall develop and maintain an SMS manual
as part of its SMS documentation.
2. SAFETY RISK MANAGEMENT
2.1. HAZARD IDENTIFICATION
2.1.1. The service provider shall develop and maintain a process that
ensures that hazards associated with its aviationproducts or services are
identified.
2.1.2. Hazard identification shall be based on a combination of reactive,
proactive and predictive methods of safety datacollection.
2.2. Safety risk assessment and mitigation
The service provider shall develop and maintain a process that ensures analysis,
assessment and control of the safety risksassociated with identified hazards.
3. SAFETY ASSURANCE
3.1. Safety performance monitoring and measurement.
3.1.1. The service provider shall develop and maintain the means to
verify the safety performance of the organizationand to validate the
effectiveness of safety risk controls.
3.1.2. The service provider's safety performance shall be verified in
reference to the safety performance indicators andsafety performance targets
of the SMS. The
management
3.2. The service provider shall develop and maintain a process to identify of change.
changes which may affect the level of safety riskassociated with its aviation
products or services and to identify and manage the safety risks that may
arise from those changes. Continuous
improvement
3.3. The service provider shall monitor and assess the effectiveness of of the SMS.
its SMS processes to enable continuous improvement ofthe overall performance
B 2634
of the SMS.
4. SAFETY PROMOTION
4.1. TRAINING AND EDUCATION
4.1.1. The service provider shall develop and maintain a safety training
programme that ensures that personnel aretrained and competent to perform
their SMS duties.
4.1.2. The scope of the safety training programme shall be appropriate
Safety to each individual's involvement in the SMS.
Communica- 4.2. The service provider shall develop and maintain a formal means for
tion safety communication that :
(a) ensures personnel are aware of the SMS to a degree commensurate
with their positions ;
(b) conveys safety-critical information ;
(c) explains why particular safety actions are taken ; and
(d) explains why safety procedures are introduced or changed.
IS. 20.4.3.1. LEGAL GUIDANCE FOR THE PROTECTIONOF INFORMATION FROM
SAFETY DATA COLLECTIONAND PROCESSING SYSTEMS
1. INTRODUCTION
1.1. The protection of safety information from inappropriate use is
essential to ensure its continued availability, since the use of safety information
for other than safety-related purposes may inhibit the future availability of
such information, with an adverse effect on safety. This fact was recognized
by the 35th Session of the ICAO Assembly, which noted that existing national
laws and regulations in many States may not adequately address the manner
in which safety information is protected from inappropriate use.
1.2. The guidance contained in this attachment is therefore aimed at
assisting States enact national laws and regulations to protect information
gathered from safety data collection and processing systems (SDCPS), while
allowing for the proper administration of justice. The objective is to prevent
the inappropriate use of information collected solely for the purpose of
improving aviation safety.
1.3. Because of the different legal systems in States, the legal guidance
must allow States the flexibility to draft their laws and regulations in accordance
with their national policies and practices.
1.4. The guidance contained in this attachment, therefore, takes the form
of a series of principles that have been distilled from examples of national
laws and regulations provided by States. The concepts described in these
principles could be adapted or modified to meet the particular needs of the
 B 2635
State enacting laws and regulations to protect safety information.
1.5. Throughout this attachment :
(a) safety information refers to information contained in SDCPS
established for the sole purpose of improving aviation safety, and qualified for
protection under specified conditions in accordance with 3.1 below ;
(b) inappropriate use refers to the use of safety information for
purposes different from the purposes for which it was collected, namely,
use of the information for disciplinary, civil, administrative and criminal
proceedings against operational personnel, and/or disclosure of the
information to the public ;
(c) SDCPS refers to processing and reporting systems, databases, schemes
for exchange of information, and recorded information and include :
(1) records pertaining to accident and incident investigations, as described
in Annex 13, Chapter 5 ;
(2) mandatory incident reporting systems, as described in Part 20.4.1.1.
of this Regulation ;
(3) voluntary incident reporting systems, as described in Part 20.4.1.2.
of this Regulation ; and
(4) self-disclosure reporting systems, including automatic data capture
systems, as described in Annex 6, Part I, Chapter 3, as well as manual data
capture systems.
Note.— Information on Safety Data Collection and Processing
Systems can be found in the Safety Management Manual.
2. GENERAL PRINCIPLES
2.1. The sole purpose of protecting safety information from inappropriate
use is to ensure its continued availability sothat proper and timely preventive
actions can be taken and aviation safety improved.
2.2. It is not the purpose of protecting safety information to interfere
with the proper administration of justice in States.
2.3. National laws and regulations protecting safety information should
ensure that a balance is struck between the need for the protection of safety
information in order to improve aviation safety, and the need for the proper
administration of justice.
2.4. National laws and regulations protecting safety information should
prevent its inappropriate use.
2.5. Providing protection to qualified safety information under specified
conditions is part of a State's safetyresponsibilities.
3. PRINCIPLES OF PROTECTION
3.1 Safety information should qualify for protection from inappropriate use
B 2636
according to specified conditions thatshould include, but not necessarily be
limited to, whether the collection of information was for explicit safety purposes
and if the disclosure of the information would inhibit its continued availability.
3.2. The protection should be specific for each SDCPS, based upon the
nature of the safety information it contains.
3.3. A formal procedure should be established to provide protection to
qualified safety information, in accordance with specified conditions.
3.4. Safety information should not be used in a way different from the
purposes for which it was collected.
3.5. The use of safety information in disciplinary, civil, administrative
and criminal proceedings should be carried out only under suitable safeguards
provided by national law.
4. PRINCIPLES OF EXCEPTION
Exceptions to the protection of safety information should only be granted
by national laws and regulations when :
(a) there is evidence that the occurrence was caused by an act considered,
in accordance with the law, to be conduct with intent to cause damage, or
conduct with knowledge that damage would probably result, equivalent to
reckless conduct, gross negligence or wilful misconduct ;
(b) an appropriate authority considers that circumstances reasonably indicate
that the occurrence may have been caused by conduct with intent to cause
damage, or conduct with knowledge that damage would probably result, equivalent
to reckless conduct, gross negligence or wilful misconduct ; or
(c) review by an appropriate authority determines that the release of the
safety information is necessary for the proper administration of justice, and
that its release outweighs the adverse domestic and international impact
such release may have on the future availability of safety information.
5. PUBLIC DISCLOSURE
5.1. Subject to the principles of protection and exception outlined above,
any person seeking disclosure of safety information should justify its release.
5.2. Formal criteria for disclosure of safety information should be
established and should include, but not necessarily belimited to, the following :
(a) disclosure of the safety information is necessary to correct conditions
that compromise safety and/or to change policies and regulations ;
(b) disclosure of the safety information does not inhibit its future
availability in order to improve safety ;
(c) disclosure of relevant personal information included in the safety
information complies with applicable privacy laws ; and
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(d) disclosure of the safety information is made in a de-identified,

summarized or aggregate form.
6. RESPONSIBILITY OF THE CUSTODIAN OF SAFETY INFORMATION
Each SDCPS should have a designated custodian. It is the responsibility
of the custodian of safety information to apply all possible protection regarding
the disclosure of the information, unless :
(a) the custodian of the safety information has the consent of the originator
of the information for disclosure ; or
(b) the custodian of the safety information is satisfied that the release of
the safety information is in accordance with the principles of exception.
7. PROTECTION OF RECORDED INFORMATION
Considering that ambient workplace recordings required by legislation, such
as cockpit voice recorders (CVRs), may be perceived as constituting an
invasion of privacy for operational personnel that other professions are not
exposed to:
(a) subject to the principles of protection and exception above, national
laws and regulations should consider ambient workplace recordings required
by legislation as privileged protected information, i.e. information deserving
enhanced protection ; and
(b) national laws and regulations should provide specific measures of
protection to such recordings as to their confidentiality and access by the
public. Such specific measures of protection of workplace recordings
required by legislation may include the issuance of orders of non-public
disclosure.