1. Prescription / Performance
Module N° 6
Prescription / Performance
Revision N° 5
ICAO State Safety Programme (SSP) Implementation Course
25/02/10

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

3. Objective
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

4. Contents
Prescription and performance
SSP – State safety risk management component
SSP – State safety assurance component
SA today
SA under SSP
Questions and answers
Points to remember
Exercise N° 2 – Development of values of safety indicators, safety targets and action plans of a mature ALoS related to an SSP

5. The objective (Remember Module 1?)
Safety
management
principles
ICAO
SARPS
Performance
Prescription
Realistic
implementation

6. Prescription / Performance
Prescriptive based environment
Regulations as administrative controls
Rigid regulatory framework
Inspections
Audits
Regulatory compliance
Prescriptive based environment
Regulations as safety risk controls
Dynamic regulatory framework
Data based identification
Prioritization of safety risks
Effective safety performance
Performance based environment

7. Example
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

8. 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

9. SSP – State safety risk management component
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

10. SSP – State safety risk management component
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 .

11. SSP – State safety risk management component
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

12. 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

13. SSP – State safety assurance component
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

14. SSP – State safety assurance component
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

15. SSP – State safety assurance component
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

16. 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 16

17. 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] …
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 17

18. 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 …
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 18

19. Prescription / Performance – Summary
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 19

20. The bridge – again SMS SSP ALoS Performance Prescription Safety

21. Safety oversight: The critical elements
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 21

22. Critical elements (CE)1
Primary
aviation legislation 4
Technical personnel qualification and training 2
Specific operating regulations 3
State civil aviation and safety oversight functions 8
Resolution of safety concerns
Establishment
Implementation
The eight (8) critical elements of a safety oversight system encompass the whole spectrum of civil aviation activities 5
Technical guidance, tools and provision of safety critical information 6
Licensing, certification, authorizations and approval obligations
USOAP 7
Surveillance obligations 22

23. Oversight and surveillance
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 23

24. Safety surveillance: prescriptive audits
The objectives of a State’s safety oversight are satisfied through administrative controls (inspections y audits) carried out regularly by the State 24

25. State SA today: prescriptive surveillance
safety
surveillance
Service providers
Acceptance
Prescriptive 25

26. State SA under SSP
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

27. State SA under SSP Protection Production Safety Programme (SSP) State
Services provider
State
Protection
Production
Safety
Programme (SSP)
Organization’s
Management
system (SMS)
Service delivery
Objective:
Support
safety
objectives
production
Safety assurance
Acceptance
Prescriptive
surveillance
Performance-based 27

28. Prescription/Performance
Questions and answers

29. Questions and answers
Q: What is the objective of regulations as safety risk controls on a performance-based environment?
A: ?
Slide number:

30. Questions and answers
Q: What tools are used for supervision in the prescription element “safety oversight”?
A: ?
Slide number:

31. Questions and answers
Q: What is the basic method for carrying out and verify regulatory compliance in accordance with critical element CE-7?
A: ?
Slide number:

32. Points to remember
Prescriptive and performance-oriented regulations
Prescriptive and performance elements of the SSP framework
SA under SSP

33. Prescription/Performance
Exercise N° 2 – Development of values of safety indicators, safety targets and action plans of a mature ALoS of an SSP

34. 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 of the group) will brief on the results

35. 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
03:00 hours

36. Working group activities
Your task
Part 1 (Complete Table 06/01)
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
...

37. Working group activities
Task required
Part 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)

38. Working group activities
Task required
Part 2 (Complete Table 06/02)
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 06/01

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)
SMS – Approved maintenance organizations (AMO)

40. Value of safety indicators Values of safety targets
Table 06/02 = Mature ALoS
ALoS #
Safety indicators
Safety targets 1 2 3 4 5
Value of safety indicators
Values of safety targets
Action plans

41. 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)
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

42. Module N° 6 Prescription / Performance