1. Module N° 6 – Prescription/Performance based environment

2. SSP – A structured approach Module 2 Basic safety management concepts Module 2 Basic safety management concepts Module 3 ICAO SARPs related to safety management Module 3 ICAO SARPs related to safety management Module 4 ICAO SSP framework Module 4 ICAO SSP framework Module 5 State ALoS Module 5 State ALoS Module 6 Prescription / Performance based environment Module 6 Prescription / Performance based environment Module 8 SSP familiarization plan Module 8 SSP familiarization plan Module 1 Introduction to the SSP familiarization course Module 7 SSP training programme Module 7 SSP training programme Module 6 Prescription / Performance based environment Module 6 Prescription / Performance based environment

3. At the end of this module, participants will be familiar with the concepts of prescription and performance, their underlying regulatory approach and the role of the States safety risk management and safety assurance Objective

4. Prescription/performance based SSP – State safety risk management component SSP – State safety assurance component The bridge – again Acceptable levels of safety – SSP Safety performance – SMS Clarifying a relationship Questions Contents

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

6. Example 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

7. 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

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

9. 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

10. 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. SSP – State safety risk management component

11. 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 ICAO SSP framework

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

13. 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. SSP – State safety assurance component

14. 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

15. The bridge – again

16. ALoS – Mature (Safety performance measurement) Values of safety targets 1. [Reduce by/maximum] non-conforming approaches (NCA) at 5 international airports per [number] departures by [date] 2. [Reduce by/maximum] Cat B and C runway incursions in 5 international [State] airports per [number] by [date] 3.… 1. [Reduce by/maximum] non-conforming approaches (NCA) at 5 international airports per [number] departures by [date] 2. [Reduce by/maximum] Cat B and C runway incursions in 5 international [State] airports per [number] by [date] 3.… Action plans Action plans 1.Constant Descend Arrivals (CDA) procedures implemented – Arrival procedures charts designed for stabilized approaches 2.Installation of ASDE/X in 5 international [State] airports 3.…. 1.Constant Descend Arrivals (CDA) procedures implemented – Arrival procedures charts designed for stabilized approaches 2.Installation of ASDE/X in 5 international [State] airports 3.…. Values of safety indicators 1. [Number] non-conforming approaches (NCA) at 5 international airports per [ number] operations 2. [Number] of Cat B and C runway incursions in 5 international [State] airports per [number] operations 3.… 1. [Number] non-conforming approaches (NCA) at 5 international airports per [ number] operations 2. [Number] of Cat B and C runway incursions in 5 international [State] airports per [number] operations 3.… State Will comply all applicable international standards.

17. Safety performance of an SMS Safety performance targets 1.Maintain no more than 20 events of unauthorized vehicles on the taxiways per 10,000 operations 2.By January 2010 reduce to 8 FOD events on the apron per 10,000 operations 3.… 1.Maintain no more than 20 events of unauthorized vehicles on the taxiways per 10,000 operations 2.By January 2010 reduce to 8 FOD events on the apron per 10,000 operations 3.… Action plans 1.Training course for drivers / installation of specific signage 2.Thrice-daily walk-in ramp inspection programme 3.… 1.Training course for drivers / installation of specific signage 2.Thrice-daily walk-in ramp inspection programme 3.… Safety performance indicators 1.20 events of unauthorized vehicles on the taxiways per 10,000 operations 2.15 FOD events on the apron per 10,000 operations 3.… 1.20 events of unauthorized vehicles on the taxiways per 10,000 operations 2.15 FOD events on the apron per 10,000 operations 3.… Service provider SMS Service provider SMS Shall comply with all applicable national and international standards

18. 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 ICAO SSP framework

19. 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. 2.1 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 States 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. 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 States 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.

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

21. Questions? Prescription/Performance based environment

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

23. 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) will brief on the results Working group activities

24. 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 Three hours Working group activities

25. Task required Part 1 (Complete Table 1) 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

26. Task required Part 1 (Complete Table 1) 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

27. Task required Part 2 (Complete Table 2) 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 1 Working group activities

28. Table1 SMS – Approved training organizations that are exposed to safety risks during the provision of their services (ATO) #Value of safety indicatorsAction plansValue of safety targetsComments 1 2 3 SMS – Aircraft operators (OPS) #Value of safety indicatorsAction plansValue of safety targetsComments 1 2 3 SMS – Approved maintenance organizations (AMO) #Value of safety indicatorsAction plansValue of safety targetsComments 1 2 3

29. Table 2 ALoS #Safety indicators#Safety targets 11 22 33 44 55 #Value of safety indicators#Values of safety targets 11 22 33 44 55 #Action plans 1 2 3 4 5

30. 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) In order to manage adequately the allocated time, each group could eventually be divided into sub-groups to identify the values of safety indicators, targets and action plans for each service providers SMS activity 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 Exercise useful tips

31. Module N° 6 – Prescription/Performance based environment