ICAO State Safety Programme SSP Implementation Course

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(No Transcript)
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SSP A structured approach
Module 6 Prescription / Performance based
environment
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Objective

• At the end of this module, participants will be
  able to describe the concepts of prescription and
  performance, their underlying regulatory approach
  and the role of the States safety risk
  management and safety assurance

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Contents

• Prescription/performance based
• SSP State safety risk management component
• SSP State safety assurance component
• The bridge again
• Acceptable levels of safety SSP
• Safety performance SMS
• Clarifying a relationship
• Questions and answers
• Points to remember
• Exercise N 2 Development of guidance on values
  of safety indicators, safety targets and action
  plans of a mature ALoS related to an SSP

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The objective (Remember Module 1?)
Realistic implementation
Safety management
Performance based
ICAO SARPS
Prescriptive
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Prescription/performance based environment
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Example

• A prescriptive environment uses regulations
  mostly as administrative controls
• Example The applicant shall have completed in
  aeroplanes not less than 10 hours of instrument
  instruction time of which not more than 5 may be
  instrument ground time
• A performance-based environment uses regulations
  mostly as safety risk controls
• Example An aeroplane shall not be refuelled
  when passengers embarking, on board or
  disembarking

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ICAO SSP framework

• State safety policy and objectives
• 1.1 State safety legislative framework
• 1.2 State safety responsibilities and
  accountabilities
• 1.3 Accident and incident investigation
• 1.4 Enforcement policy
• State safety risk management
• 2.1 Safety requirements for service providers
  SMS
• 2.2 Agreement on service providers safety
  performance
• State safety assurance
• 3.1 Safety oversight
• 3.2 Safety data collection, analysis and
  exchange
• 3.3 Safety data driven targeting of oversight on
  areas of greater concern or need
• State safety promotion
• 4.1 Internal training, communication and
  dissemination of safety information
• 4.2 External training, communication and
  dissemination of safety information

SRM
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SSP State safety risk management component

• State safety risk management
• 2.1 Safety requirements for service providers
  SMS
• 2.2 Agreement on service providers safety
  performance

Activities that allow the State to carry out
safety risk management based on combined
prescription/performance architecture
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SSP State safety risk management component

• State safety risk management
• 2.1 Safety requirements for service providers
  SMS
• 2.2 Agreement on service providers safety
  performance
• Prescriptive element
• Initial standards/requirements for service
  providers.
• Modified or additional standards/requirements for
  service providers

.
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SSP State safety risk management component

• State safety risk management
• 2.1 Safety requirements for service providers SMS
• 2.2 Agreement on service providers safety
  performance
• Performance-based element
• Agreement with the service provider on SMS
  short, medium and long-terms objectives of safety
  performance

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ICAO SSP framework

• State safety policy and objectives
• 1.1 State safety legislative framework
• 1.2 State safety responsibilities and
  accountabilities
• 1.3 Accident and incident investigation
• 1.4 Enforcement policy
• State safety risk management
• 2.1 Safety requirements for service providers
  SMS
• 2.2 Agreement on service providers safety
  performance
• State safety assurance
• 3.1 Safety oversight
• 3.2 Safety data collection, analysis and
  exchange
• 3.3 Safety data driven targeting of oversight on
  areas of greater concern or need
• State safety promotion
• 4.1 Internal training, communication and
  dissemination of safety information
• 4.2 External training, communication and
  dissemination of safety information

SA
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SSP State safety assurance component

• State safety assurance
• 3.1 Safety oversight
• 3.2 Safety data collection, analysis and exchange
• 3.3 Safety data driven targeting of oversight on
  areas of greater concern or need

Controls to ensure that the State carries out
safety risk management based on combined
prescription/performance architecture
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SSP State safety assurance component

• State safety assurance
• 3.1 Safety oversight
• 3.2 Safety data collection, analysis and exchange
• 3.3 Safety data driven targeting of oversight on
  areas of greater concern or need
• Prescription element
• Supervision based on inspections, audits and
  surveys.

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SSP State safety assurance component

• State safety assurance
• 3.1 Safety oversight
• 3.2 Safety data collection, analysis and exchange
• 3.3 Safety data driven targeting of oversight on
  areas of greater concern or need
• Performance-based element
• Verification that the service provider delivers
  agreed SMS safety performance

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The bridge again
ALoS
Safety performance
SMS
SSP
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ALoS Mature (Safety performance measurement)
Performance
Prescription
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Safety performance of an SMS
Performance
Prescription
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ICAO SSP framework

• State safety policy and objectives
• 1.1 State safety legislative framework
• 1.2 State safety responsibilities and
  accountabilities
• 1.3 Accident and incident investigation
• 1.4 Enforcement policy
• State safety risk management
• 2.1 Safety requirements for service providers
  SMS
• 2.2 Agreement on service providers safety
  performance
• State safety assurance
• 3.1 Safety oversight
• 3.2 Safety data collection, analysis and
  exchange
• 3.3 Safety data driven targeting of oversight on
  areas of greater concern or need
• State safety promotion
• 4.1 Internal training, communication and
  dissemination of safety information
• 4.2 External training, communication and
  dissemination of safety information

Prescription
Performance
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Prescription / Performance Summary
Prescription
Performance
2.1 Safety requirements for service providers
SMS The State has established the controls which
govern how service providers will identify
hazards and manage safety risks. 3.1 Safety
oversight The State has established mechanisms
to ensure an effective monitoring of the eight
critical elements of the safety oversight
function.
2.2 Agreement on service providers safety
performance The State has agreed with individual
service providers on the safety performance of
their SMS. 3.2 Safety data collection, analysis
and exchange The State has established
mechanisms to ensure the capture and storage of
data on hazards and safety risks at both an
individual and aggregate States level. 3.3
Safety data driven targeting of oversight on
areas of greater concern or need The State has
established procedures to prioritize inspections,
audits and surveys towards those areas of greater
safety concern or need, as identified by the
analysis of data on hazards, their consequences
in operations, and the assessed safety risks.
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Clarifying a relationship
Objective Safety risk management
Performance 2.2 SMS safety performance 3.2 and
3.3 Collection, analysis and data follow-up

• Prescription
• Inspections
• Audits
• Surveys

Service delivery
Objective Safety risk management
3. Safety assurance
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Questions and answers

• Prescription/Performance based environment

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Questions and answers

• Q What is the objective of regulations as safety
  risk controls on a performance-based
  environment?
• A
• Dynamic regulatory framework
• Data based identification and prioritization of
  safety risks
• Effective safety performance

Slide number 6
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Questions and answers

• Q What tools are used for supervision in the
  prescription element safety oversight?
• A
• Supervision is based on inspections, audits and
  surveys

Slide number 14
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Points to remember

• Regulations in a prescription/performance based
  environment
• Prescriptive and performance-based elements of
  the SSP framework
• Safety performance of the SMS

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Exercise N 2 Development of values of safety
indicators, safety targets and action plans of a
mature ALoS of an SSP

• Prescription/Performance based environment

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Working group activities

• Participants will be divided into separate groups
• A facilitator will be appointed, who will
  coordinate the discussions and activities of each
  group
• A summary of discussions will be written on
  electronic forms
• A draft report, using the appropriate electronic
  form, will be prepared for its presentation in
  the plenary sessions and a member of the group
  (assisted by the other members) will brief on the
  results

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Working group activities

• Objective of the exercise
• To develop values of safety indicators, safety
  targets and action plans of a mature ALoS (Safety
  measurement / safety performance measurement)
  based on
• quantification of outcomes of selected
  high-level/high-consequence events
• quantification of selected high-level State
  functions
• quantification of outcomes of selected
  low-level/low-consequence events
• Refer to Module 5 for guidance for values of
  safety indicators, action plans and values of
  safety targets
• Time allocated
• Three hours

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Working group activities

• Task required
• Part 1 (Complete Table 1)
• Develop a minimum of
• two (2) values of safety indicators,
• two (2) values of safety targets, and
• two (2) corresponding action plans
• in support of the safety performance of an SMS
  for each type of the following organizations
• ...

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Working group activities

• Task required
• Part 1 (Complete Table 1)
• Approved training organizations that are exposed
  to safety risks during the provision of their
  services (ATO)
• Aircraft operators (OPS)
• Approved maintenance organizations (AMO)
• Organizations responsible for design and/or
  manufacture of aircraft (AIR)
• Air traffic services providers (ATC)
• Certified aerodromes (AGA)

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Working group activities

• Task required
• Part 2 (Complete Table 2)
• Develop as a minimum
• five (5) safety indicators and five (5) safety
  targets
• five (5) values of safety indicators and five (5)
  values of safety targets
• five (5) corresponding action plans
• related to an ALoS of a mature SSP (safety
  measurement safety performance measurement)
  based on safety data directly obtained by the
  State and from the SMS safety performance of the
  organizations included in Table 1

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Table1
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Table 2
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Exercise useful tips

• Elect a facilitator
• Start with a general discussion on the objective
  of the task and the material available for this
  exercise (no more than 10 minutes)
• In order to manage adequately the allocated time,
  each group could eventually be divided into
  sub-groups to identify the values of safety
  indicators, targets and action plans for each
  service providers SMS activity
• Select one of the participants of the group for
  preparing the final report on the laptop
• Be prepared to deliver the results of the
  exercises (in a pen drive) to the course
  instructor at least five minutes before the time
  allocated

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Module N 6 Prescription/Performance based
environment