Module N° 4 – ICAO SSP framework Revision N° 3 ICAO State Safety Programme (SSP) familiarization Course 06/05/09

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 State ALoS Module 6 Prescription / Performance based environment Module 8 SSP familiarization plan Module 1 Introduction to the SSP familiarization course Module 7 SSP training programme

Objectives At the end of this module, participants will be familiar with the SSP framework, its components and elements as the means to implement the SSP and role of the SSP in supporting the implementation of SMS by service providers.

Contents SSP – The bridge SSP and SMS components State responsibilities – General concepts ICAO SSP framework Questions

SSP development SSP development is based upon basic safety management principles (SRM and SA) SSP is the bridge that closes the gap between the internal and external safety processes of a State and the internal safety processes of service providers State Service providers SMS SSP

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

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 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 Effective and efficient implementation of SSP oversight activities supported by hazard identification and safety risk analyses Effective and efficient implementation of oversight activities of service providers based on the assessment of safety performance of service providers’ SMS Priorities regarding resource allocation are based upon the severity of the safety risks of the hazards identified Compliance monitoring is based on conventional auditing

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

Development and implementation of SSP components and elements 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 in compliance with international and national standards that define how the State will conduct the management of safety in the State

1. State safety policy and objectives 1.1 – State safety legislative framework The safety legislative framework defines the participation of the State aviation organizations in specific activities related to the management of safety in the State establishes the roles, responsibilities, and relationships of such organizations The safety legislative framework and specific regulations are periodically reviewed to ensure they remain relevant and appropriate to the State

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 1.2 – State safety responsibilities and accountabilities The State has identified, defined and documented the requirements, responsibilities and accountabilities regarding the establishment and maintenance of the SSP including the directives to plan, organize, develop, maintain, control and continuously improve the SSP in a manner that meets the State’s safety objectives a clear statement about the provision 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 Executive for the State SSP The Accountable Executive will 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 Executive for the State SSP shall have administrative responsibility and accountability, on behalf of the State, for the implementation and maintenance of the SSP Operational responsibility and accountability for the performance of the SSP shall remain within the various State organizations encompassed under the SSP

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

1. State safety policy and objectives 1.2 – State safety responsibilities and accountabilities Establishment of an SSP implementation team Assign the time required for each task associated to the implementation of the SSP among the different management levels of the State aviation organizations Introduce all staff to SSP concepts at a level commensurate to the involvement of each staff member within the SSP

1. State safety policy and objectives 1.2 – State safety responsibilities and accountabilities Develop and implement a State safety policy that includes the commitment to strategies and processes to ensure that all aviation activities under oversight will achieve the highest level of safety performance the implementation of a national safety legislative framework and applicable operating regulations for the management of safety in the State ...

1. State safety policy and objectives 1.2 – State safety responsibilities and accountabilities ... the commitment to allocate the necessary resources within the State aviation organization(s) to allow their personnel to discharge their responsibilities, both safety- related and otherwise the support of the management of safety in the State through an effective hazard reporting and communication system

1. State safety policy and objectives 1.2 – State safety responsibilities and accountabilities ... the establishment of provisions for the protection of safety data, collection and processing systems (SDCPS) the commitment to an effective interaction with service providers in the resolution of safety concerns the commitment to communicate, with visible endorsement, the State safety policy to all staff an enforcement policy that reflects service providers’ operations in an SMS environment

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 1.3 – 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

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 1.4 – 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 SMS environment to the satisfaction of the appropriate State authority allow the State to define the conditions 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 established under a 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 requirements which govern 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 reviewed to ensure they remain relevant and appropriate to the service providers

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 2.2 – Agreement on service providers safety performance The State has agreed with individual service providers on the safety performance of their SMS The agreed safety performance of individual service providers SMS is periodically reviewed to ensure it remains relevant and appropriate to the service providers Further developed in Module 6

2. State safety risk management 2.2 – Agreement on service providers’ safety performance The agreed safety performance of the SMS shall be Commensurate to the complexity of individual service provider’s specific operational contexts Commensurate with the availability of individual service provider’s resources to address safety risks

2. State safety risk management 2.2 – Agreement on service providers safety performance Periodical reviews of the agreed safety performance of the SMS shall be conducted to ensure it remains relevant and appropriate to the service providers

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

3. State safety assurance 3.1 – Safety oversight The State has established mechanisms to ensure that the identification of hazards and the management of safety risks by service providers follow established regulatory controls (requirements, specific operating regulations and implementation policies)

3. State safety assurance 3.1 – Safety oversight These mechanisms include inspections, audits and surveys to ensure that regulatory safety risk controls are appropriately integrated into the service providers’ SMS regulatory safety risk controls are being practiced as designed the regulatory controls have the intended effect on safety risks

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

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

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 3.2 – Safety data collection, analysis and exchange Means of exchanging information and/or data with other sources of safety information Bi-lateral agreements Joint safety authorities agreements Common taxonomies and software applications (ADREP and ECCAIRS) Web-based applications

3. State safety assurance 3.2 – Safety data collection, analysis and exchange Establish and maintain a safety library to store documentation related to the national safety legislative framework the State safety policy and objectives the SSP requirements, processes, procedures, responsibilities and accountabilities data on hazards and safety risks the ALoS related to the SSP service providers’ SMS

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

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

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

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 4.1 – Internal training, communication and dissemination of safety information An SSP training programme for staff should be developed around the four components of the SSP, and include Indoctrination/initial safety training On the job (OJT) safety training Recurrent safety training The SSP training programme shall include SMS training for the staff involved in the acceptance and oversight of the service provider’s SMS Further developed in Module 7

4. State safety promotion 4.1 – Internal training, communication and dissemination of safety information The State shall develop and maintain formal means for internal safety communication to convey safety critical information explain why safety requirements and procedures are introduced or changed The State shall establish means to communicate safety related issues internally via: Safety regulations, policies and procedures News letters Bulletins Website

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

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?

Module N° 4 – ICAO SSP framework