module n° 6icao state safety programme (ssp) implementation course 1 module n° 6 prescription /...

Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 1

Module N° 6 Prescription / Performance

Revision N° 5 ICAO State Safety Programme (SSP) Implementation Course

25/02/10


SSP – A structured approach

Module 2Basic safety management

concepts

Module 3 ICAO SARPs related

to safety management

Module 4 ICAO SSP framework

Module 5ALoS related to an

SSP

Module 6 Prescription / Performance

Module 8SSP implementation plan

Module 1 Introduction to the

SSP implementation course

Module 7 SSP training programme

Module 6 Prescription / Performance


At the end of this module, participants will be able to describe

the concepts of prescription and performance, their

integration in the SRM and SA components of an SSP, and

the role of the SA component of the SSP in the safety

surveillance activities of the State

Objective


Prescription and performanceSSP – State safety risk management componentSSP – State safety assurance componentSA todaySA under SSP Questions and answersPoints to rememberExercise N° 2 – Development of values of safety indicators,

safety targets and action plans of a mature ALoS related to an SSP

Contents


The objective (Remember Module 1?)

Safetymanagement

principles ICAOSARPS

Performance

PrescriptionPrescriptionRealistic

implementation


Prescription / Performance

Prescriptive based environment

Regulations as administrative controls

Rigid regulatory framework

Inspections

Audits

Regulatory compliance



Regulations as safety risk controls

Dynamic regulatory framework

Data based identification

Prioritization of safety risks

Effective safety performance

Performance based

environment


Prescriptive regulations establish “what” is to be achieved and “how” it must be achieved Example – An operator shall not conduct fuelling

procedures when passengers are embarking, on board or disembarking

Performance-oriented regulations establish “what” is to be achieved, but provide flexibility on “how” it must be achieved

Example – An operator shall establish procedures for the protection against fire during fuelling operations

Example


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



.


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



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







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 assurance 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




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






ICAO SSP framework


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 plans

1. 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


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 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


The bridge – again

SMSSMSSMSSMSSSPSSPSSPSSP

ALoSALoSALoSALoS SafetySafetyperformanceperformance

SafetySafetyperformanceperformance

PrescriptionPrescription

Performance


Safety oversight is defined as a function by which States ensure effective implementation of the safety related SARPs and associated procedures

The implementation of an effective safety oversight system is based upon the critical elements (CE) for safety oversight

Safety oversight: The critical elements


Critical elements (CE)

7Surveillance obligations

1Primary aviation

legislation

4Technical personnel

qualification and training

2Specific

operating regulations

3State civil

aviation and safety

oversight functions

8Resolution of

safety concerns

Establishment

Implementation

5Technical guidance, tools and

provision of safety critical information

6Licensing,

certification, authorization

s and approval

obligations

USOAP


Oversight capability of a State safety oversight authority is based on the effective implementation of the eight (8) critical elements

Surveillance by a State safety oversight authority is one of the eight critical element (CE-7) and basically is a method for carrying out and verifying regulatory compliance throughout inspections, audits and surveys

Oversight and surveillance


The objectives of a State’s safety oversight are satisfied through administrative controls (inspections y audits) carried out regularly by the State

Safety surveillance: prescriptive audits


State SA today: prescriptive surveillance

State’ssafety

surveillance

Service providers

AcceptancePrescriptivesurveillance


Present-day prescriptive surveillance will extend to

performance-based surveillance

Under SSP, the State SA will include a combination of

acceptance and prescriptive surveillance, and performance-

based surveillance

State SA under SSP


State SA under SSP

Protection Production

StateSafety

Programme (SSP)

Organization’sSafety

Management system (SMS)

Service delivery

Objective:Support safety objectives

Objective:Supportsafety objectives

Objective:Support productionobjectives

AcceptancePrescriptivesurveillance

Performance-based surveillance


Questions and answers

Prescription/Performance



Q: What is the objective of regulations as safety risk controls on a performance-based environment?

A: ?

Slide number:


Q: What tools are used for supervision in the prescription element “safety oversight”?

A: ?

Slide number:



Q: What is the basic method for carrying out and verify regulatory compliance in accordance with critical element

CE-7?

A: ?


Slide number:


1. Prescriptive and performance-oriented regulations

2. Prescriptive and performance elements of the SSP

framework

3. SA under SSP

Points to remember


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

Prescription/Performance


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 of the group) 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

03:00 hours



Your task

Part 1 (Complete Table 06/01)

Develop a minimum oftwo (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

...



Task requiredPart 1 (Complete Table 06/01)

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)



Task requiredPart 2 (Complete Table 06/02)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 06/01



Table 06/01 – Values of safety indicators and targets

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)


1

2

3

SMS – Approved maintenance organizations (AMO)


1

2

3


Table 06/02 = Mature ALoS

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 facilitator

Start with a general discussion on the objective of the task and the material available for this exercise (no more than 10 minutes)

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”

Revision N° 5 ICAO State Safety Programme (SSP) Implementation Course

25/02/10

Module N° 6 Prescription / Performance

module n° 6icao state safety programme (ssp) implementation course 1 module n° 6 prescription /...

Documents

safety management module

safety requirements

ssp module

state safety policy

state safety responsibilities

state safety promotion

safety oversight

safety targets