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

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

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

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

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

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

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

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

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

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 .

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

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

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

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

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

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

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

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

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

The bridge – again SMS SSP ALoS Performance Prescription Safety

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

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

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

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

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

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

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

Prescription/Performance Questions and answers

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

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

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:

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

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

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

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

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 ...

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)

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

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)

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

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

Module N° 6 Prescription / Performance