International Civil Aviation OrganizationEuropean and North Atlantic Office

ICAO EUR HLSC Preparatory Seminar9-11 February 2010

Baku, Azerbaijan

Theme 2: Toward the proactive management of safetyTopic 2.1: Managing the transition to the implementation of a State Safety Programme (SSP) environment

ICAOEUR/NAT Office

2HLSC Preparatory meeting, Baku, Azerbaijan, 9-11 February 2010

Overview

The SSP introduces significant change to existing practices for the discharge of safety responsibilities by the State. The main elements of this change are the formalization of the safety risk management (SRM) and, particularly, the safety assurance (SA) functions by States. This, in turn, requires that the traditional prescriptive regulatory approach be complemented by a performance-based approach.

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SSP

SSP and SM

SPO1

SA3

SRM2

Data

Data

SDCPS

The need forthe protectionof sources of safety information

Dat

aALoS

SP4

Safety Management (SM)

(Safety policy and objectives)

(Safety promotion)

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Basis- Definition of Safety Concept of Safety (Doc 9859)

Safety is the state in which the risk of harm to persons or property damage is reduced to, and maintained at or below, an acceptable level through a continuing process of hazard identification and risk management

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Why ?

Traditional – Accident/serious incident investigation· Aviation system performs most of the time as per

design specifications (base line performance)· Compliance based· Outcome oriented

Evolving – Safety management· Aviation system does not perform most of the time as

per design specifications (practical drift)· Performance based· Process oriented

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Basic Safety Management SARPs

States shall establish a State safety programme (SSP), in order to achieve an acceptable level of safety (ALoS) in civil aviation. The ALoS to be achieved shall be established by the State.

Establishment of ALoS – performance based approach· Does not replace legal, regulatory and other compliance based

mechanisms· Does not affect obligations of States, f.eg. compliance with SARPs

SSP - An integrated set of regulations and activities aimed at improving safety. An SSP is a management system for the management of safety by the State.

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Basic Safety Management SARPs

States shall require, as part of their State safety programme (SSP), that a [service provider] implement a safety management system (SMS) acceptable to the State that, as a minimum:a) identifies safety hazards;

b) ensures the implementation of remedial action necessary to maintain agreed safety performance

c) provides for continuous monitoring and regular assessment of the safety performance; and

d) aims at a continuous improvement of the overall performance of the safety management system

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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

StateService

providers

SMSSMSSSPSSP

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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

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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 need4. State safety promotion

4.1 Internal training, communication and dissemination of safety information

4.2 External training, communication and dissemination of safety information

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State safety risk management (SRM)

· 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

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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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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

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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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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

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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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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.

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Clarifying a relationshipService provider

State

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: Inspections Audits Surveys

3. Safety assurance

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Proposals in WP 4…States or regional safety organizations when appropriate, supported by ICAO as necessary: update the national or regional safety legislative

framework and specific regulations, as necessary define the participation of the various State aviation

organizations involved in specific activities related to the management of safety in the State

identify, define and document the requirements, responsibilities (compliance) and accountabilities (performance) necessary for the establishment and maintenance of the SSP

develop an enforcement policy that establishes the conditions under which service providers will internally resolve events indicative of lapses in safety performance

develop and maintain a safety training programme

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Proposals in WP 4… continued

Safety data collection and processing system (SDCPS) – · Protection of information (Annex 13 Attachment E)· Common data platform , f.eg. ADREP taxonomy and

ECCAIRS- ECCAIRS training launched in March 2009.

Define ALoS (first initial, then, based on data, mature)

Develop methods to prioritize inspections, audits and surveys towards those areas of greater safety concern or need

International Civil Aviation OrganizationEuropean and North Atlantic Office

ICAO EUR HLSC Preparatory Seminar9-11 February 2010

Baku, Azerbaijan

ICAO Safety Management Manual- Doc 9859 AN/460 – Second EditionSSP and SMS training courses

The ICAO safety management website ww.icao.int/anb/safetymanagement

accessed also through the ICAO flight safety information exchange website www.icao.int/fsix

Thank you and… QUESTIONS ??