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

3. Objectives
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.

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

5. 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

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. State responsibilities on safety policy and objectives
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

8. State responsibilities on safety risk management
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

9. State responsibilities on safety assurance
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

10. State responsibilities on safety promotion
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

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

12. 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

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. State safety policy and objectives
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

15. 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. 1. State safety policy and objectives
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

17. 1. State safety policy and objectives
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

18. 1. State safety policy and objectives
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

19. 1. State safety policy and objectives
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

20. 1. State safety policy and objectives
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

21. 1. State safety policy and objectives
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
...

22. 1. State safety policy and objectives
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

23. 1. State safety policy and objectives
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

24. 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

25. 1. State safety policy and objectives
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

26. 1. State safety policy and objectives
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

27. 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

28. 1. State safety policy and objectives
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

29. 1. State safety policy and objectives
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

30. 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

31. 2. State safety risk management
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

32. 2. State safety risk management
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

33. 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

34. 2. State safety risk management
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

35. 2. State safety risk management
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

36. 2. State safety risk management
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

37. 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

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. State safety assurance
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

40. 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

41. 3. State safety assurance
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

42. 3. State safety assurance
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

43. 3. State safety assurance
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

44. 3. State safety assurance
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

45. 3. State safety assurance
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

46. 3. State safety assurance
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

47. 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

48. 3. State safety assurance
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

49. 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

50. 4. State safety promotion
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

51. 4. State safety promotion
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

52. 4. State safety promotion
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

53. 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

54. 4. State safety promotion
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

55. ICAO SSP framework
Questions?

56. Module N° 4 – ICAO SSP framework