Module N° 6 – Prescription/Performance based environment

1. Module N° 6 – Prescription/Performance based environment

2. SSP – A structured approach Module 8 SSP familiarization plan Module 7 SSP training programme Module 4 ICAO SSP framework Module 5 State ALoS Module 6 Prescription / Performance based environment Module 6 Prescription / Performance based environment Module 2 Basic safety management concepts Module 3 ICAO SARPs related to safety management Module 1Introduction to the SSP familiarization course

3. Objective • 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

4. Contents • Prescription/performance based • SSP – State safety risk management component • SSP – State safety assurance component • The bridge – again • Acceptable levels of safety – SSP • Safety performance – SMS • Clarifying a relationship • Questions

5. Prescription/performance based environment • Performance based environment • Regulations as safety risk controls • Dynamic regulatory framework: • Data based identification and prioritization of safety risks • Effective safety performance • Prescriptive environment • Regulations as administrative controls • Rigid regulatory framework • Inspections • Audits • Regulatory compliance

6. Example A prescriptive environment uses regulations mostly as administrative controls Example – 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 controls Example – An aeroplane shall not be refuelled when passengers embarking, on board or disembarking

7. ICAO SSP framework • State safety policy and objectives • 1.1 State safety legislative framework • 1.2 State safety responsibilities and accountabilities • 1.3 Accident and incident investigation • 1.4 Enforcement policy • State safety risk management • 2.1 Safety requirements for service providers SMS • 2.2 Agreement on service providers safety performance • 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 • State safety promotion • 4.1 Internal training, communication and dissemination of safety information • 4.2 External training, communication and dissemination of safety information

8. 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 Activities that allow the State to carry out safety risk management based on combined prescription/performance architecture

9. 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 .

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 • Performance-based element • Agreement with the service provider on SMS short, medium and long-terms objectives of safety performance.

11. ICAO SSP framework • State safety policy and objectives • 1.1 State safety legislative framework • 1.2 State safety responsibilities and accountabilities • 1.3 Accident and incident investigation • 1.4 Enforcement policy • State safety risk management • 2.1 Safety requirements for service providers SMS • 2.2 Agreement on service providers safety performance • 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 • State safety promotion • 4.1 Internal training, communication and dissemination of safety information • 4.2 External training, communication and dissemination of safety information

12. 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

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 • Prescription element • Supervision based on inspections, audits and surveys.

14. 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

15. The bridge – again

16. ALoS – Mature (Safety performance measurement) Values of safety targets [Reduce by/maximum] non-conforming approaches (NCA) at 5 international airports per [number] departures by [date] [Reduce by/maximum] Cat B and C runway incursions in 5 international [State] airports per [number]by [date] … Performance Action plans Constant Descend Arrivals (CDA) procedures implemented – Arrival procedures charts designed for stabilized approaches Installation of ASDE/X in 5 international [State] airports …. Values of safety indicators [Number]non-conforming approaches (NCA) at 5 international airports per [number]operations [Number] of Cat B and C runway incursions in 5 international [State] airports per [number]operations … State Will comply all applicable international standards. Prescription

17. Safety performance of an SMS Safety performance targets Maintain no more than 20 events of unauthorized vehicles on the taxiways per 10,000 operations By January 2010 reduce to 8 FOD events on the apron per 10,000 operations … Performance Action plans Training course for drivers / installation of specific signage Thrice-daily walk-in ramp inspection programme … Safety performance indicators 20 events of unauthorized vehicles on the taxiways per 10,000 operations 15 FOD events on the apron per 10,000 operations … Service provider SMS Shall comply with all applicable national and international standards Prescription

18. ICAO SSP framework • State safety policy and objectives • 1.1 State safety legislative framework • 1.2 State safety responsibilities and accountabilities • 1.3 Accident and incident investigation • 1.4 Enforcement policy • State safety risk management • 2.1 Safety requirements for service providers SMS • 2.2 Agreement on service providers safety performance • 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 • State safety promotion • 4.1 Internal training, communication and dissemination of safety information • 4.2 External training, communication and dissemination of safety information

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 performance The State has agreed with individual service providers on the safety performance of their SMS. 3.2 Safety data collection, analysis and exchange The 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 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.

20. Clarifying a relationship Protection Production SSP 2.1 Safety requirements 3.1 Safety oversight Objective: Safety risk management Performance 2.2 SMS safety performance 3.2 and 3.3 Collection, analysis and data follow-up State • Prescription: • Inspections • Audits • Surveys Service delivery Objective : Safety risk management SMS 2.1 Safety requirements 3.1 Safety oversight Service provider 3. Safety assurance

21. Prescription/Performance based environment Questions?

22. 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

23. Working group activities • 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

24. Working group activities • Objective of the exercise • To develop values of safety indicators, safety targets and action plans of a mature ALoS (Safety measurement / safety performance measurement) based on • quantification of outcomes of selected high-level/high-consequence events • quantification of selected high-level State functions • quantification of outcomes of selected low-level/low-consequence events • Refer to Module 5 for guidance for values of safety indicators, action plans and values of safety targets • Time allocated • Three hours

25. 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 • ...

26. Working group activities • Task required • Part 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)

27. Working group activities • Task required • Part 2 (Complete Table 2) • Develop as a minimum: • Five (5) safety indicators and five (5) safety targets • Five (5) values of safety indicators and five (5) values of safety targets • Five (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

28. Table1

29. Table 2

30. Exercise “useful tips” • 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) • 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

31. Module N° 6 – Prescription/Performance based environment