module n° 4 – icao ssp framework revision n° 3icao state safety programme (ssp) familiarization...

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