module n° 6 – prescription/performance based environment
TRANSCRIPT
Module N° 6 – Prescription/Performance based
environment
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 6 Prescription /
Performance based environment
At the end of this module, participants will be familiar with the
concepts of prescription and performance, their underlying
regulatory approach and the role of the State’s safety risk
management and safety assurance
Objective
Prescription/performance basedSSP – State safety risk management componentSSP – State safety assurance componentThe bridge – again Acceptable levels of safety – SSP Safety performance – SMS Clarifying a relationshipQuestions
Contents
Prescription/performance based environment
Prescriptive environment
Regulations as administrative controls
Rigid regulatory framework
Inspections
Audits
Regulatory compliance
Performance based environment
Regulations as safety risk controlsDynamic regulatory framework:
Data based identification and prioritization of safety risks Effective safety
performance
Example
A prescriptive environment uses regulations mostly as administrative controlsExample – 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 controlsExample – An aeroplane shall not be refuelled when
passengers embarking, on board or disembarking
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
State safety risk management
2.1 Safety requirements for service providers’ SMS
2.2 Agreement on service providers’ safety performance
SSP – State safety risk management component
Activities that allow the State to carry out safety risk management based on combined prescription/performance architecture
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
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.
SSP – State safety risk management component
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
ICAO SSP framework
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
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.
SSP – State safety assurance component
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
The bridge – again
ALoS – Mature (Safety performance measurement)
Values of safety targets
1. [Reduce by/maximum] non-conforming approaches (NCA) at 5 international airports per [number] departures by [date]
2. [Reduce by/maximum] Cat B and C runway incursions in 5 international [State] airports per [number] by [date]
3. …
Actionplans
1. Constant Descend Arrivals (CDA) procedures implemented – Arrival procedures charts designed for stabilized approaches
2. Installation of ASDE/X in 5 international [State] airports3. ….
Values of safety indicators
1. [Number] non-conforming approaches (NCA) at 5 international airports per [number] operations
2. [Number] of Cat B and C runway incursions in 5 international [State] airports per [number] operations
3. …
StateWill comply all applicable international standards.
Safety performance of an SMS
Safety performance targets
1. Maintain no more than 20 events of unauthorized vehicles on the taxiways per 10,000 operations
2. By January 2010 reduce to 8 FOD events on the apron per 10,000 operations
3. …
Action plans1. Training course for drivers / installation of specific signage2. Thrice-daily walk-in ramp inspection programme3. …
Safety performance indicators
1. 20 events of unauthorized vehicles on the taxiways per 10,000 operations2. 15 FOD events on the apron per 10,000 operations3. …
Service providerSMS
Shall comply with all applicable national and international standards
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
ICAO SSP framework
Prescription / Performance – Summary
Prescription Performance2.1 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 performanceThe State has agreed with individual service providers on the safety performance of their SMS.
3.2 Safety data collection, analysis and exchangeThe State has established mechanisms to ensure the capture and storage of data on hazards and safety risks at both an individual and aggregate State’s level.
3.3 Safety data driven targeting of oversight on areas of greater concern or needThe 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.
Clarifying a relationship
Protection Production
SSP2.1 Safety requirements 3.1 Safety oversight
SMS2.1 Safety requirements 3.1 Safety oversight
Service delivery
Objective:Safety riskmanagement
Objective :Safety riskmanagement
Performance2.2 SMS safety performance3.2 and 3.3 Collection, analysis and data follow-up
Prescription:InspectionsAuditsSurveys
3. Safety assurance
Questions?
Prescription/Performance based environment
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
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
Working group activities
Objective of the exerciseTo develop values of safety indicators, safety targets
and action plans of a mature ALoS (Safety measurement / safety performance measurement) based onquantification of outcomes of selected high-level/high-
consequence eventsquantification of selected high-level State functionsquantification of outcomes of selected low-level/low-
consequence eventsRefer to Module 5 for guidance for values of safety
indicators, action plans and values of safety targetsTime allocated
Three hours
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...
Working group activities
Task requiredPart 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)
Working group activities
Task requiredPart 2 (Complete Table 2)Develop as a minimum:
Five (5) safety indicators and five (5) safety targetsFive (5) values of safety indicators and five (5) values
of safety targetsFive (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
Working group activities
Table1
SMS – Approved training organizations that are exposed to safety risks during the provision of their services (ATO)
# Value of safety indicators Action plans Value of safety targets Comments
1
2
3
SMS – Aircraft operators (OPS)
# Value of safety indicators Action plans Value of safety targets Comments
1
2
3
SMS – Approved maintenance organizations (AMO)
# Value of safety indicators Action plans Value of safety targets Comments
1
2
3
Table 2
ALoS
# Safety indicators # Safety targets
1 1
2 2
3 3
4 4
5 5
# Value of safety indicators # Values of safety targets
1 1
2 2
3 3
4 4
5 5
# Action plans
1
2
3
4
5
Elect a facilitatorStart 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 provider’s 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
Exercise “useful tips”
Module N° 6 – Prescription/Performance based
environment