Module N° 4 – ICAO SSP framework

Revision N° 5 ICAO State Safety Programme (SSP) Implementation Course 25/02/10 Module N° 4 – ICAO SSP framework

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

Objectives • At the end of this module, participants will be able to describe the ICAO SSP framework as the basic structure to support the SSP implementation

Contents • SSP – The bridge • SSP and SMS components • State responsibilities – General concepts • ICAO SSP framework • Questions and answers • Points to remember

SSP development • SSP development is based upon two basic safety management principles • Safety Risk Management (SRM) • Safety Assurance (SA) • SSP is the bridge that closes the gap that could potentially develop between the internal and external safety processes of a State and the internal safety processes of service providers

SSP and SMS components SSP components SMS components • State safety policy and objectives • State safety risk management • State safety assurance • State safety promotion • Safety policy and objectives • Safety risk management • Safety assurance • Safety promotion

State responsibilities on safety policy and objectives • 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 policies • procedures • management controls • documentation • corrective action processes to keep the State safety management efforts on track

State responsibilities on safety risk management • Rulemaking and policy development is 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 assurance • Surveillance activities under SSP are supported by hazard identification and safety risk analyses • Surveillance of service providers is based on compliance monitoring as well as the assessment of safety performance of service providers’ SMS • Compliance monitoring is based on periodic audits and inspections • Assessment of safety performance of SMS leads to prioritized surveillance based upon the severity of the safety risks of the consequences of the hazards identified by the SMS

State responsibilities on safety promotion • State must provide its staff • Competence and technical knowledge on subject matter • Additional knowledge regarding hazard identification and safety risk analysis • State must communicate its SSP internally and externally

ICAO SSP framework Development and implementation of SSP components and elements

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

1. State safety policy and objectives 1.1 – State safety legislative framework • The State has promulgated a national safety legislative framework and specific regulations that define how the State will conduct the management of safety in the State, in compliance with international and national standards

1. State safety policy and objectives 1.1 – State safety legislative framework • The safety legislative framework and specific regulations • define the participation of the State aviation organizations in specific activities related to the management of safety • establish the roles, responsibilities, accountabilities and relationships of State aviation organizations in such specific activities • 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 1.2 – State safety responsibilities and accountabilities • The State has defined and documented, regarding the establishment and maintenance of the SSP • requirements • responsibilities • accountabilities • SSP documentation includes • directives to plan, develop, maintain and continuously improve the SSP • a clear statement about the allocation of the necessary resources for the implementation of the SSP

1. State safety policy and objectives 1.2 – State safety responsibilities and accountabilities • Identify and appoint the Accountable Person for the State SSP • The Accountable Person shall 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 Personfor the State SSP shall have administrative responsibility and accountability, on behalf of the State, for the implementation, coordination and maintenance of the SSP

1. State safety policy and objectives 1.2 – State safety responsibilities and accountabilities • The Accountable Personfor the State SSP shall have • final authority on issues related to the allocation of resources within the State aviation organization that has been designated as the placeholder for the SSP • authority over service providers’ certificate management aspects • responsibility for the coordination of the resolution of State’s aviation safety issues under the SSP

1. State safety policy and objectives 1.2 – State safety responsibilities and accountabilities • The State safety policy should include • the commitment to allocate the necessary resources within the State aviation organizations to allow their personnel to discharge their safety management responsibilities • the establishment of an effective State hazard reporting system • ...

1. State safety policy and objectives 1.2 – State safety responsibilities and accountabilities • ... • specific operating regulations and implementation policies for service providers’ SMS • The specific operating regulations and implementation policies are periodically reviewedto ensure they remain relevant and appropriate to the service providers

1. State safety policy and objectives 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 investigation • Accident and incident investigation are in support of the management of safety in the State • In 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 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 context of their SMS, to the satisfaction of the appropriate State authority • 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 (qualifying for protection) established under an 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

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

2. State safety risk management 2.1 – Safety requirements for service providers’ SMS • The State has established the requirementswhich define how service providers will identify hazards and manage safety risks

2. State safety risk management 2.1 – Safety requirements for service providers SMS • SMS requirements include specific operating regulations and implementation policies for service providers’ SMS • The requirements, specific operating regulations and implementation policies are periodically reviewedto ensure they remain relevant and appropriate to the service providers

2. State safety risk management 2.2 – Agreement on service providers safety performance • The State has agreed individually with each service provider the safety performance of their SMS • The agreed safety performance of individual service providers SMS isperiodically reviewed to ensure it remains relevant and appropriate to the service providers Further developed in Module 6

3. State safety assurance 3.1 - Safety oversight • The State has established mechanisms that include inspections, audits and surveys in order to ensure that • the identification of hazards and the management of safety risks by service providers follow established regulatory controls • regulatory safety risk controls are appropriately integrated into the service providers’ SMS

3. State safety assurance 3.2 – Safety data collection, analysis and exchange • The State has developed and established means to capture and store data on hazards and safety risks at both individual and aggregate level within the State

3. State safety assurance 3.2 – Safety data collection, analysis and exchange • The 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 systems • Capture data on hazards and safety risks • State safety hazard database • Store data on hazards and safety risks • The importance of common taxonomies and software applications (ADREP and ECCAIRS)

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 3.3 – 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

4. State safety promotion 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 4.2 – 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

ICAO SSP framework Questions and answers

Questions and answers • Q: What are the State responsibilities on safety risk management? • A: ? Slide number:

Questions and answers • Q: Under the State responsibilities on safety promotion, which are the requirements for State safety oversight authority technical personnel? • A: ? Slide number:

Questions and answers • Q: What are the elements of the State safety assurance SSP component, included in the ICAO SSP framework? • A: ? Slides number:

Points to remember • SSP – SMS components • State responsibilities • Components and elements of the ICAO SSP framework

Module N° 4 – ICAO SSP framework