ICAO EUR HLSC Preparatory Seminar

1. ICAO EUR HLSC Preparatory Seminar 9-11 February 2010 Baku, Azerbaijan Theme 2: Toward the proactive management of safety Topic 2.1: Managing the transition to the implementation of a State Safety Programme (SSP) environment

2. Overview HLSC Preparatory meeting, Baku, Azerbaijan, 9-11 February 2010 The SSP introduces significant change to existing practices for the discharge of safety responsibilities by the State. The main elements of this change are the formalization of the safety risk management (SRM) and, particularly, the safety assurance (SA) functions by States. This, in turn, requires that the traditional prescriptive regulatory approach be complemented by a performance-based approach.

3. SSP and SM SSP Safety Management (SM) SPO 1 SRM 2 Data (Safety policy and objectives) SDCPS The need for the protection of sources of safety information SA 3 Data Data ALoS SP 4 (Safety promotion)

4. Basis- Definition of Safety Concept of Safety (Doc 9859) • Safety is the state in which the risk of harm to persons or property damage is reduced to, and maintained at or below, an acceptable level through a continuing process of hazard identification and risk management

5. Why ? • Traditional – Accident/serious incident investigation • Aviation system performs most of the time as per design specifications (base line performance) • Compliance based • Outcome oriented • Evolving – Safety management • Aviation system does not perform most of the time as per design specifications (practical drift) • Performance based • Process oriented

6. Basic Safety Management SARPs • States shall establish a State safety programme (SSP), in order to achieve an acceptable level of safety (ALoS) in civil aviation. The ALoS to be achieved shall be established by the State. • Establishment of ALoS – performance based approach • Does not replace legal, regulatory and other compliance based mechanisms • Does not affect obligations of States, f.eg. compliance with SARPs • 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.

7. Basic Safety Management SARPs • 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

8. SSP SMS SSP development State Service providers 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

9. Prescription/performance based environment • Performance based environment • Regulations as safety risk controls • Dynamic regulatory framework: • Data based identification and prioritization of safety risks • Effective safety performance • Prescriptive environment • Regulations as administrative controls • Rigid regulatory framework • Inspections • Audits • Regulatory compliance

10. 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

11. SSP – State safety risk management component Activities that allow the State to carry out safety risk management based on combined prescription/performance architecture • State safety risk management (SRM) • 2.1 Safety requirements for service providers’ SMS • 2.2 Agreement on service providers’ safety performance

12. SSP – State safety risk management component • State safety risk management • 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 .

13. SSP – State safety risk management component • State safety risk management • 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.

14. SSP – State safety assurance component Controls to ensure that the State carries out safety risk management based on combined prescription/performance architecture • 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

15. SSP – State safety assurance component • 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 • Prescription element • Supervision based on inspections, audits and surveys.

16. SSP – State safety assurance component • 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 • Performance-based element • Verification that the service provider delivers agreed SMS safety performance

17. Prescription + Performance – Summary Prescription Performance 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.

18. Clarifying a relationship Protection Production SSP 2.1 Safety requirements 3.1 Safety oversight Objective: Safety risk management Performance 2.2 SMS safety performance 3.2 and 3.3 Collection, analysis and data follow-up State • Prescription: • Inspections • Audits • Surveys Service delivery Objective: Safety risk management SMS 2.1 Safety requirements 3.1 Safety oversight Service provider 3. Safety assurance

19. Proposals in WP 4… States or regional safety organizations when appropriate, supported by ICAO as necessary: update the national or regional safety legislative framework and specific regulations, as necessary define the participation of the various State aviation organizations involved in specific activities related to the management of safety in the State identify, define and document the requirements, responsibilities (compliance) and accountabilities (performance) necessary for the establishment and maintenance of the SSP develop an enforcement policy that establishes the conditions under which service providers will internally resolve events indicative of lapses in safety performance develop and maintain a safety training programme

20. Proposals in WP 4… continued • Safety data collection and processing system (SDCPS) – • Protection of information (Annex 13 Attachment E) • Common data platform , f.eg. ADREP taxonomy and ECCAIRS- ECCAIRS training launched in March 2009. • Define ALoS (first initial, then, based on data, mature) • Develop methods to prioritize inspections, audits and surveys towards those areas of greater safety concern or need

21. ICAO EUR HLSC Preparatory Seminar 9-11 February 2010 Baku, Azerbaijan ICAO Safety Management Manual- Doc 9859 AN/460 – Second Edition SSP and SMS training courses The ICAO safety management website ww.icao.int/anb/safetymanagement accessed also through the ICAO flight safety information exchange website www.icao.int/fsix Thank you and… QUESTIONS ??