Module N° 3 – ICAO SARPs related to safety management

1. Module N° 3 – ICAO SARPs related to safety management

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 2 Basic safety management concepts Module 3 ICAO SARPs related to safety management 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 ICAO SARPs and related guidance material concerning safety management; and the role of the SSP in ensuring that safety risk controls are established

4. Contents • The big picture • What is an SSP? • What is an SMS? • Safety accountabilities • SSP/SMS relationships • State’s safety oversight • Critical elements • Service providers responsibilities • Questions

5. ICAO safety management SARPs – The big picture • Two audience groups • States • Service providers • Three distinct requirements • State safety programme (SSP) • Acceptable level of safety (ALoS) • Safety management System (SMS) • Safety performance of the SMS • Management accountability

6. Basic safety management SARPs – Part I • States shall establish a State safety programme (SSP), in order to achieve an acceptable level of safety (ALoS) in civil aviation

7. What is an 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

8. SSP in context • The implementation of an SSP must be commensurate with the size and complexity of the State’s aviation system

9. SSP in context • The implementation of an SSP may require coordination among multiples authorities responsible for individual element functions in the State

10. Basic safety management SARPs – Part I • The acceptable level of safety (ALoS) to be achieved shall be established by the State

11. Basic safety management SARPs – Part II • 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: • identifies safety hazards; • ensures the implementation of remedial action necessary to maintain agreed safety performance • provides for continuous monitoring and regular assessment of the safety performance; and • aims at a continuous improvement of the overall performance of the safety management system

12. Service providers • The following service providers are required to implement ICAO SARPs on SMS: • Approved training organizations that are exposed to safety risks during the provision of their services • Aircraft operators • Approved maintenance organizations • Organizations responsible for design and/or manufacture of aircraft • Air traffic services providers • Certified aerodromes

13. What is an SMS? • A systematic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures • Service providers are responsible for establishing an SMS • States are responsible, under the SSP, for the acceptance and oversight of service providers’ SMS

14. Basic safety management SARPs – Part III • A safety management system (SMS) shall clearly define lines of safety accountability throughout a service provider organization, including a direct accountability for safety on the part of senior management (Accountability – Obligation or willingness to account for one’s actions)

15. State safety responsibilities and accountabilities • The State should identify and clearly define the safety requirements, responsibilities and accountabilities regarding the establishment and maintenance of the SSP

16. State safety responsibilities and accountabilities • Safety responsibilities within an SSP are functions and duties which describe the safety purpose of what an individual is required to do, with regard to the operation of the SSP • Safety accountabilities within an SSP are statements of what an individual is required to deliver, either directly or through supervision and management of others, including those to whom the individual has delegated responsibility, with regard to the operation of the SSP

17. Basic safety management SARPs in summary State Service provider • States shall establish a State safety programme (SSP), in order to achieve an acceptable level of safety (ALoS) in civil aviation. • The acceptable level of safety (ALoS) to be achieved shall be established by the State. • States shall require, as part of their State safety programme (SSP), that a [service provider]implements a safety management system (SMS) acceptable to the State that, as a minimum: • identifies safety hazards; • ensures the implementation of remedial action necessary to maintain agreed safety performance. • provides for continuing monitoring and regular assessment of the safety performance; and • aims at a continuous improvement of the overall performance of the SMS.

18. SSP – SMS relationship Production Protection State Safety Programme (SSP) Objective: Safety risk management State • Performance-based • oversight • Acceptance • Compliance oversight Objective: Support production goals and customer satisfaction Service delivery Organization’s Safety Management system (SMS) Objective: Safety risk management Services provider • Safety assurance

19. State’s safety oversight State’s Safety oversight • Acceptance • Compliance • oversight Service providers

20. State’s safety oversight • 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 eight critical elements for safety oversight (CE)

21. Critical Elements

22. State’s safety oversight • The objectives of a State’s safety oversight are satisfied through administrative controls (inspections, audits and surveys) carried out regularly by the State (CAA)

23. State’s safety oversight • States generally have a system of regulations, but do not require a safety risk analysis as pre-requisite for regulatory development • States may not monitor the effectiveness of regulations as safety risk controls • A State’s safety oversight system may not include safety risk controls

24. State’s safety oversight • Regulation development under an SSP observes safety risk management principles, as follows • Hazard identification • Safety risk analysis • Mitigation of hazard’s consequences • Measurement of mitigation effectiveness and efficiency • The SSP ensures safety risk controls are established

25. Regulations as safety risk controls Production Protection State Safety Programme (SSP) Objective: Safety risk management State • Performance-based • oversight • Acceptance • Compliance oversight Objective: Support production goals and customer satisfaction Service delivery Organization’s Safety Management system (SMS) Objective: Safety risk management Services provider • Safety assurance

26. ICAO SARPs related to the SSP Questions?

27. Module N° 3 – ICAO SARPs related to safety management