SSP AND SAFETY AMANAGEMENT SYSTEM PER ICAO SARPS .ppt

SSP AND SAFETY AMANAGEMENT SYSTEM RELATED TO ICAO SARPS

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

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
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
Module 4
ICAO SSP
framework

3. 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.
Objectives

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

5. 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
SSP development
State
Service
providers
SMSSMS SSPSSP

6. 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

7. 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 policy and objectives

8. 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 risk management

9. 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 assurance

10. 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
State responsibilities on safety promotion

11. Development and implementation of SSP
components and elements
ICAO SSP framework

12. ICAO SSP framework
1.State safety policy and objectives
1.1 State safety legislative framework
1.2 State safety responsibilities and accountabilities
1.3Accident and incident investigation
1.4 Enforcement policy
2.State safety risk management
2.1 Safety requirements for service providers SMS
2.2 Agreement on service providers safety performance
3.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
4.State safety promotion
4.1 Internal training, communication and dissemination of safety information
4.2 External training, communication and dissemination of safety information

13. 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

14. 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
1. State safety policy and objectives

15. ICAO SSP framework
1.State safety policy and objectives
1.1 State safety legislative framework
1.2 State safety responsibilities and accountabilities
1.3Accident and incident investigation
1.4 Enforcement policy
2.State safety risk management
2.1 Safety requirements for service providers SMS
2.2 Agreement on service providers safety performance
3.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
4.State safety promotion
4.1 Internal training, communication and dissemination of safety information
4.2 External training, communication and dissemination of safety information

16. 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

17. 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

18. 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

19. 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

20. 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

21. 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

22. 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

23. 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
1. State safety policy and objectives

24. ICAO SSP framework
1.State safety policy and objectives
1.1 State safety legislative framework
1.2 State safety responsibilities and accountabilities
1.3Accident and incident investigation
1.4 Enforcement policy
2.State safety risk management
2.1 Safety requirements for service providers SMS
2.2 Agreement on service providers safety performance
3.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
4.State safety promotion
4.1 Internal training, communication and dissemination of safety information
4.2 External training, communication and dissemination of safety information

25. 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

26. 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

27. ICAO SSP framework
1.State safety policy and objectives
1.1 State safety legislative framework
1.2 State safety responsibilities and accountabilities
1.3Accident and incident investigation
1.4 Enforcement policy
2.State safety risk management
2.1 Safety requirements for service providers SMS
2.2 Agreement on service providers safety performance
3.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
4.State safety promotion
4.1 Internal training, communication and dissemination of safety information
4.2 External training, communication and dissemination of safety information

28. 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

29. 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
1. State safety policy and objectives

30. ICAO SSP framework
1.State safety policy and objectives
1.1 State safety legislative framework
1.2 State safety responsibilities and accountabilities
1.3Accident and incident investigation
1.4 Enforcement policy
2.State safety risk management
2.1 Safety requirements for service providers’ SMS
2.2 Agreement on service providers’ safety performance
3.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
4.State safety promotion
4.1 Internal training, communication and dissemination of safety information
4.2 External training, communication and dissemination of safety information

31. 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

32. 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
2. State safety risk management

33. ICAO SSP framework
1.State safety policy and objectives
1.1 State safety legislative framework
1.2 State safety responsibilities and accountabilities
1.3Accident and incident investigation
1.4 Enforcement policy
2.State safety risk management
2.1 Safety requirements for service providers SMS
2.2 Agreement on service providers safety performance
3.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
4.State safety promotion
4.1 Internal training, communication and dissemination of safety information
4.2 External training, communication and dissemination of safety information

34. 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

35. 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

36. 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
2. State safety risk management

37. ICAO SSP framework
1.State safety policy and objectives
1.1 State safety legislative framework
1.2 State safety responsibilities and accountabilities
1.3Accident and incident investigation
1.4 Enforcement policy
2.State safety risk management
2.1 Safety requirements for service providers SMS
2.2 Agreement on service providers safety performance
3.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
4.State safety promotion
4.1 Internal training, communication and dissemination of safety information
4.2 External training, communication and dissemination of safety information

38. 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)

39. 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
3. State safety assurance

40. ICAO SSP framework
1.State safety policy and objectives
1.1 State safety legislative framework
1.2 State safety responsibilities and accountabilities
1.3Accident and incident investigation
1.4 Enforcement policy
2.State safety risk management
2.1 Safety requirements for service providers SMS
2.2 Agreement on service providers safety performance
3.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
4.State safety promotion
4.1 Internal training, communication and dissemination of safety information
4.2 External training, communication and dissemination of safety information

41. 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

42. 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

43. 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

44. 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

45. 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

46. 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
3. State safety assurance

47. ICAO SSP framework
1.State safety policy and objectives
1.1 State safety legislative framework
1.2 State safety responsibilities and accountabilities
1.3Accident and incident investigation
1.4 Enforcement policy
2.State safety risk management
2.1 Safety requirements for service providers SMS
2.2 Agreement on service providers safety performance
3.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
4.State safety promotion
4.1 Internal training, communication and dissemination of safety information
4.2 External training, communication and dissemination of safety information

48. 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
3. State safety assurance

49. ICAO SSP framework
1.State safety policy and objectives
1.1 State safety legislative framework
1.2 State safety responsibilities and accountabilities
1.3Accident and incident investigation
1.4 Enforcement policy
2.State safety risk management
2.1 Safety requirements for service providers SMS
2.2 Agreement on service providers safety performance
3.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
4.State safety promotion
4.1 Internal training, communication and dissemination of safety information
4.2 External training, communication and dissemination of safety information

50. 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

51. 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

52. 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
4. State safety promotion

53. ICAO SSP framework
1.State safety policy and objectives
1.1 State safety legislative framework
1.2 State safety responsibilities and accountabilities
1.3Accident and incident investigation
1.4 Enforcement policy
2.State safety risk management
2.1 Safety requirements for service providers SMS
2.2 Agreement on service providers safety performance
3.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
4.State safety promotion
4.1 Internal training, communication and dissemination of safety information
4.2 External training, communication and dissemination of safety information

54. 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
4. State safety promotion

55. Questions?
ICAO SSP framework

56. Module N° 4 – ICAO SSP framework