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
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.
HLSC-WP/4 direct quote. Basically, that’s it …
Anyone has followed the SSP course?
HLSC Preparatory meeting, Baku, Azerbaijan, 9-11 February 2010

3. Safety Management (SM)
SSP and SM
SSP
Safety Management (SM)
SPO 1
SRM 2
The need for
the protection
of sources of
safety
information
(Safety policy
and objectives)
Data
SDCPS 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
Start from the basics. Something you have heard a number of times. Whole-encompassing definition, since the SSP must require that service providers (within their SMS) identify hazards and based on the SMS performance (performance based approach in addition to the traditional prescriptive approach) State shall establish ALoS…

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
Why the significant change? Why do we need it?

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.
The State Safety Programme (SSP) is a system for the management of safety within a
State. It provides an enabling platform for the different civil aviation organizations within a State to
apply two basic safety management activities essential to the discharge of their safety responsibilities:
safety risk management (SRM) and safety assurance (SA). It is also a structural framework that
enables the State to effectively exercise its safety oversight authority and to more effectively interact
with service providers within the State in the resolution of safety concerns.
The implementation of an SSP must be commensurate with the size and complexity of the State’s aviation system.
The implementation of an SSP may require coordination among multiples authorities responsible for individual element functions in the State. (ex. In some States SAR matters- different Ministry, may be Military).

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
A systematic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures
Service providers are responsible for establishing an SMS.
States are responsible, under the SSP, for the acceptance and oversight of service providers’ SMS
The following service providers are required to implement ICAO SARPs on SMS:
Approved training organizations that are exposed to safety risks during the provision of their services
Aircraft operators
Approved maintenance
organizations
Organizations responsible for
design and/or manufacture of
aircraft
Air traffic services providers
Certified aerodromes

8. 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
The SSP introduces significant changes to existing practices for the discharge of
safety responsibilities by the State in an evolutionary rather than a revolutionary manner. The most
significant component of this change is the formalization of the SRM and SA functions by the State,
the latter in particular.

9. Prescription/performance based environment
Prescriptive environment
Regulations as administrative controls
Rigid regulatory framework
Inspections
Audits
Regulatory compliance
Performance based environment
Regulations as safety risk controls
Dynamic regulatory framework:
Data based identification and prioritization of safety risks
Effective safety performance
A prescriptive environment uses regulations mostly as administrative controls
Example – The applicant shall have completed in aeroplanes not less than 10 hours of instrument instruction time of which not more than 5 may be instrument ground time
A performance-based environment uses regulations mostly as safety risk controls
Example – An aeroplane shall not be refuelled when passengers embarking, on board or disembarking

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
State safety risk management (SRM)
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

12. 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 .

13. 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.

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
Controls to ensure that the State carries out safety risk management based on combined prescription/performance architecture

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
Prescription element
Supervision based on inspections, audits and surveys.

16. 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

17. 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.
The traditional practices through which a State discharges its safety oversight
functions have been based on prescriptive compliance
The SSP introduces significant changes to existing practices for the discharge of safety responsibilities by the State in an evolutionary rather than a revolutionary manner. The most significant component of this change is the formalization of the SRM and SA functions by the State, the latter in particular.
A performance-based approach to SRM and SA is not intended to replace the
prescriptive approach, but builds upon it. Prescription and performance are not mutually exclusive or
adversarial concepts; they are quite complementary.
3.4 There are clear complementarities between the prescriptive and performance-based approaches to SRM and SA and benefits for States to integrate them. The SSP is the system that allows a State to accomplish such integration.

18. Clarifying a relationship
Protection
Production
State
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
Prescription:
Inspections
Audits
Surveys
Service provider
SMS
2.1 Safety requirements
3.1 Safety oversight
Service delivery
Objective:
Safety risk
management
Managing the transition to an SSP environment requires a gradual transition from prevailing prescriptive processes and practices within the State toward the integration of performance-based processes and practices. This transition must be carefully managed. Prevailing processes and practices must be kept in place, allowing the system to evolve gradually in a supplemental manner, and to include checks and balances that ensure stability of the safety processes within the State during the transition.
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
States or regional safety organizations when appropriate, supported by ICAO as necessary:
a) update the national or regional safety legislative framework and specific regulations, as necessary, to support the evolution of performance-based State safety management, including the processes and practices that explain how
the State will conduct such management of safety;
b) define the participation of the various State aviation organizations involved in specific activities related to the management of safety in the State- as we said, frequently SSP implementation involves various ministries/organizations etc.;
c) identify, define and document the requirements, responsibilities (regarding compliance) and accountabilities (regarding performance) necessary for the establishment and maintenance of the SSP- typically phased over three years, depending on you’re the maturity of situation in your State;
d) identify an Accountable Person for the SSP, to coordinate the administrative requirements and activities among the various State aviation organizations encompassed under SSP-corner stone of SSP implementation;
e) develop an enforcement policy that establishes the conditions under which service providers will internally resolve minor events indicative of lapses in safety performance, to the satisfaction of the appropriate State authority, and the conditions under which events indicative of lapses in safety performance, i.e. gross negligence, willful deviation and so forth shall be dealt through established enforcement procedures); and
f) develop and maintain a safety training programme to ensure that personnel are competent to perform their SSP duties (knowledge re-ICAO Safety SARPs on Safety management in Annexes 6, 8, 11 and 14 and related guidance material), knowledge to certify and oversee the implementation of key components of an SMS in compliance with the national regulations and relevant ICAO SARPs.

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
a) develop a safety data collection and processing system (SDCPS), and establish provisions for the protection of such system. This includes provisions qualifying which information derived from SDCPS cannot be used as evidence for enforcement action;
b) define, on the basis of information from SDCPS, an acceptable level of safety (ALoS) to be delivered by the SSP; and
c) develop, on the basis of information from SDCPS, methods to prioritize inspections, audits and surveys towards those areas of greater safety concern or need, as identified by the analysis of data on hazards
There are significant advantages associated with the use of a common data platform, as it can facilitate implementation of an SDCPS for States and will foster the future exchange of operational safety information within the international community. The ICAO Accident/Incident Data Reporting (ADREP) system taxonomy and the European Co-ordination Centre for Aviation Incident Reporting Systems (ECCAIRS) software provide a potential common platform since both can be provided free of charge to States, along with necessary training.

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
Thank you and… QUESTIONS ??