module n° 6icao state safety programme (ssp) implementation course 1 module n° 6 prescription /...
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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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 2
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 3
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 4
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 5
The objective (Remember Module 1?)
Safetymanagement
principles ICAOSARPS
Performance
PrescriptionPrescriptionRealistic
implementation
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 6
Prescription / Performance
Prescriptive based environment
Regulations as administrative controls
Rigid regulatory framework
Inspections
Audits
Regulatory compliance
Prescriptive based environment
Prescriptive based environment
Regulations as safety risk controls
Dynamic regulatory framework
Data based identification
Prioritization of safety risks
Effective safety performance
Performance based
environment
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 7
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 8
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 9
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 10
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 11
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 12
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 13
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 14
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 15
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 16
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 17
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 18
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 19
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 20
The bridge – again
SMSSMSSMSSMSSSPSSPSSPSSP
ALoSALoSALoSALoS SafetySafetyperformanceperformance
SafetySafetyperformanceperformance
PrescriptionPrescription
Performance
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 21
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 22
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 23
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 24
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 25
State SA today: prescriptive surveillance
State’ssafety
surveillance
Service providers
AcceptancePrescriptivesurveillance
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 26
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 27
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 28
Questions and answers
Prescription/Performance
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 29
Questions and answers
Q: What is the objective of regulations as safety risk controls on a performance-based environment?
A: ?
Slide number:
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 30
Q: What tools are used for supervision in the prescription element “safety oversight”?
A: ?
Slide number:
Questions and answers
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 31
Q: What is the basic method for carrying out and verify regulatory compliance in accordance with critical element
CE-7?
A: ?
Questions and answers
Slide number:
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 32
1. Prescriptive and performance-oriented regulations
2. Prescriptive and performance elements of the SSP
framework
3. SA under SSP
Points to remember
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 33
Exercise N° 2 – Development of values of safety indicators, safety targets and action plans of a mature ALoS of an SSP
Prescription/Performance
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 34
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 35
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
Working group activities
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 36
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
...
Working group activities
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 37
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)
Working group activities
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 38
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
Working group activities
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 39
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)
# 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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 40
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
Module N° 6 ICAO State Safety Programme (SSP) Implementation Course 41
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