module n° 4 – icao ssp framework revision n° 3icao state safety programme (ssp) familiarization...
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Module N° 4 – ICAO SSP framework
Revision N° 3 ICAO State Safety Programme (SSP) familiarization Course 06/05/09
SSP – A structured approach
Module 2Basic safety management
concepts
Module 3 ICAO SARPs related
to safety management
Module 4 ICAO SSP framework
Module 5State ALoS
Module 6 Prescription /
Performance based environment
Module 8SSP familiarization plan
Module 1 Introduction to the SSP familiarization
course
Module 7 SSP training programme
Module 4 ICAO SSP framework
At the end of this module, participants will be familiar with the
SSP framework, its components and elements as the means
to implement the SSP and role of the SSP in supporting the
implementation of SMS by service providers.
Objectives
SSP – The bridgeSSP and SMS componentsState responsibilities – General conceptsICAO SSP frameworkQuestions
Contents
SSP development is based upon basic safety management principles (SRM and SA)
SSP is the bridge that closes the gap between the internal and external safety processes of a State and the internal safety processes of service providers
SSP development
State Service providers
SMSSMSSMSSMSSSPSSPSSPSSP
SSP and SMS components
Safety policy and objectives
Safety risk management
Safety assurance
Safety promotion
SMS components
State safety policy and objectives
State safety risk management
State safety assurance
State safety promotion
SSP components
The SSP can only be effectively implemented as part of an overall framework of accountabilities and responsibilities within the State
The SSP must include explicit policiesproceduresmanagement controlsdocumentationcorrective action processes to keep the State safety
management efforts on track
State responsibilities on safety policy and objectives
Rulemaking and policy development based on hazard
identification and analysis of the safety risks of the
consequences of hazards
Regulations become safety risk controls when adopted by
service providers’ SMS
State responsibilities on safety risk management
Effective and efficient implementation of SSP oversight activities supported by hazard identification and safety risk analyses
Effective and efficient implementation of oversight activities of service providers based on the assessment of safety performance of service providers’ SMS
Priorities regarding resource allocation are based upon the severity of the safety risks of the hazards identified
Compliance monitoring is based on conventional auditing
State responsibilities on safety assurance
State must provide its staff
Competence and technical knowledge
Additional knowledge regarding hazard identification and safety risk analysis
State must communicate its SSP internally and externally
State responsibilities on safety promotion
Development and implementation of SSP components and elements
ICAO SSP framework
ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
1. State safety policy and objectives
1.1 – State safety legislative framework
The State has promulgated a national safety legislative framework and specific regulations in compliance with international and national standards that define how the State will conduct the management of safety in the State
1.1 – State safety legislative framework
The safety legislative framework defines the participation of the State aviation
organizations in specific activities related to the management of safety in the State
establishes the roles, responsibilities, and relationships of such organizations
The safety legislative framework and specific regulations are periodically reviewed to ensure they remain relevant and appropriate to the State
1. State safety policy and objectives
ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
1.2 – State safety responsibilities and accountabilities
The State has identified, defined and documented the requirements, responsibilities and accountabilities regarding the establishment and maintenance of the SSP including
the directives to plan, organize, develop, maintain, control and continuously improve the SSP in a manner that meets the State’s safety objectives
a clear statement about the provision of the necessary resources for the implementation of the SSP
1. State safety policy and objectives
1.2 – State safety responsibilities and accountabilitiesIdentify and appoint the Accountable Executive for the
State SSPThe Accountable Executive will coordinate as appropriate,
the activities of the various State aviation organizations encompassed under SSP
1. State safety policy and objectives
1.2 – State safety responsibilities and accountabilities
The Accountable Executive for the State SSP shall have administrative responsibility and accountability, on behalf of the State, for the implementation and maintenance of the SSP
Operational responsibility and accountability for the performance of the SSP shall remain within the various State organizations encompassed under the SSP
1. State safety policy and objectives
1.2 – State safety responsibilities and accountabilities
The Accountable Executive for the State SSP, shall have
authority on major financial issues related to State aviation organization that has been designated as placeholder for the SSP
authority over service providers’ certificate management aspects
responsibility for the coordination of the resolution of all State’s aviation safety issues under the SSP
1. State safety policy and objectives
1.2 – State safety responsibilities and accountabilities
Establishment of an SSP implementation team
Assign the time required for each task associated to the implementation of the SSP among the different management levels of the State aviation organizations
Introduce all staff to SSP concepts at a level commensurate to the involvement of each staff member within the SSP
1. State safety policy and objectives
1.2 – State safety responsibilities and accountabilities
Develop and implement a State safety policy that includes
the commitment to strategies and processes to ensure that all aviation activities under oversight will achieve the highest level of safety performance
the implementation of a national safety legislative framework and applicable operating regulations for the management of safety in the State
...
1. State safety policy and objectives
1.2 – State safety responsibilities and accountabilities
...
the commitment to allocate the necessary resources within the State aviation organization(s) to allow their personnel to discharge their responsibilities, both safety-related and otherwise
the support of the management of safety in the State through an effective hazard reporting and communication system
...
1. State safety policy and objectives
1.2 – State safety responsibilities and accountabilities... the establishment of provisions for the protection of safety
data, collection and processing systems (SDCPS)the commitment to an effective interaction with service
providers in the resolution of safety concernsthe commitment to communicate, with visible
endorsement, the State safety policy to all staffan enforcement policy that reflects service providers’ operations in an SMS environment
1. State safety policy and objectives
ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
1.3 – Accident and incident investigation
The State has established an independent accident and incident investigation process, the sole objective of which is the prevention of accidents and incidents, and not the apportioning of blame or liability
1. State safety policy and objectives
1.3 – Accident and incident investigationAccident and incident investigation are in support of the
management of safety in the StateIn the operation of the SSP, the State maintains the
independence of the accident and incident investigation organization from other State aviation organizations
1. State safety policy and objectives
ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
1.4 – Enforcement policy
The State has promulgated an enforcement policy that establishes the conditions that
allow service providers to deal and resolve, events involving certain safety deviations internally, within the SMS environment to the satisfaction of the appropriate State authority
allow the State to define the conditions under which to deal with safety deviations through established enforcement procedures
1. State safety policy and objectives
1.4 – Enforcement policy
The enforcement policy should ensure that no information derived from an internal reporting process or a flight data monitoring process established under a SMS will be used as evidence for enforcement action
ICAO Assembly Resolution A35/17
Safety information must not be used for purposes other than the purposes for which it was collected
Legal guidance in Annex 13, Attachment E
1. State safety policy and objectives
ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers’ SMS2.2 Agreement on service providers’ safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
2.1 – Safety requirements for service providers’ SMSThe State has established the requirements which govern
how service providers will identify hazards and manage safety risks
2. State safety risk management
2.1 – Safety requirements for service providers SMSSMS requirements include specific operating regulations and
implementation policies for service providers’ SMSThe requirements, specific operating regulations and
implementation policies are periodically reviewed to ensure they remain relevant and appropriate to the service providers
2. State safety risk management
ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
2.2 – Agreement on service providers safety performance
The State has agreed with individual service providers on the safety performance of their SMS
The agreed safety performance of individual service providers SMS is periodically reviewed to ensure it remains relevant and appropriate to the service providers
Further developed in Module 6
2. State safety risk management
2.2 – Agreement on service providers’ safety performance The agreed safety performance of the SMS shall be
Commensurate to the complexity of individual service provider’s specific operational contexts
Commensurate with the availability of individual service provider’s resources to address safety risks
2. State safety risk management
2.2 – Agreement on service providers safety performance
Periodical reviews of the agreed safety performance of the SMS shall be conducted to ensure it remains relevant and appropriate to the service providers
2. State safety risk management
ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
3. State safety assurance
3.1 – Safety oversight
The State has established mechanisms to ensure that the identification of hazards and the management of safety risks by service providers follow established regulatory controls (requirements, specific operating regulations and implementation policies)
3.1 – Safety oversight
These mechanisms include inspections, audits and surveys to ensure that
regulatory safety risk controls are appropriately integrated into the service providers’ SMS
regulatory safety risk controls are being practiced as designed
the regulatory controls have the intended effect on safety risks
3. State safety assurance
ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
3.2 – Safety data collection, analysis and exchangeThe State has developed and established means to capture data on hazards and safety risks at both an individual
and aggregate level within the State store data on hazards and safety risks at both an individual
and aggregate level within the State
3. State safety assurance
3.2 – Safety data collection, analysis and exchangeThe State has developed and established means to extract information from the stored data exchange safety information with service providers and/or
other States as appropriate
3. State safety assurance
3.2 – Safety data collection, analysis and exchange
Means to capture and store data on hazards and safety risks may include
Reporting systemsCapture data on hazards and safety risks
State safety hazard databaseStore data on hazards and safety risks
3. State safety assurance
3.2 – Safety data collection, analysis and exchange
Means to extract information from the stored data include
Basic data analysis
Safety studies
Safety reviews
Safety surveys
3. State safety assurance
3.2 – Safety data collection, analysis and exchange
Means of exchanging information and/or data with other sources of safety information
Bi-lateral agreements
Joint safety authorities agreements
Common taxonomies and software applications (ADREP and ECCAIRS)
Web-based applications
3. State safety assurance
3.2 – Safety data collection, analysis and exchangeEstablish and maintain a safety library to store documentation
related to the national safety legislative framework the State safety policy and objectives the SSP requirements, processes, procedures,
responsibilities and accountabilities data on hazards and safety risks the ALoS related to the SSP service providers’ SMS
3. State safety assurance
ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
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
3. State safety assurance
ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
4.1 – Internal training, communication and dissemination of safety information
The State shall develop and maintain a safety training programme that ensures that personnel are trained and competent to perform the SSP duties
The scope of the safety training shall be appropriate to each individual’s involvement in the SSP
4. State safety promotion
4.1 – Internal training, communication and dissemination of safety information
An SSP training programme for staff should be developed around the four components of the SSP, and include
Indoctrination/initial safety trainingOn the job (OJT) safety training Recurrent safety training
The SSP training programme shall include SMS training for the staff involved in the acceptance and oversight of the service provider’s SMS Further developed in Module 7
4. State safety promotion
4.1 – Internal training, communication and dissemination of safety information
The State shall develop and maintain formal means for internal safety communication toconvey safety critical informationexplain why safety requirements and procedures are
introduced or changedThe State shall establish means to communicate safety
related issues internally via:Safety regulations, policies and proceduresNews lettersBulletinsWebsite
4. State safety promotion
ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
4.2 – External training, communication and dissemination of safety information
The State shall
provide guidance material on SMS safety training for the service providers
develop and maintain formal means for external safety communication
establish means to communicate safety related issues externally
4. State safety promotion
Questions?
ICAO SSP framework
Module N° 4 – ICAO SSP framework