Module N° 4 ICAO State Safety Programme (SSP) Implementation Course 1
Module N° 4 – ICAO SSP framework
Revision N° 5 ICAO State Safety Programme (SSP) Implementation Course
25/02/10
Module N° 4 ICAO State Safety Programme (SSP) Implementation Course 2
SSP – A structured approach
Module 2Basic safety management
concepts
Module 3 ICAO SARPs related
to safety management
Module 4 ICAO SSP framework
Module 5ALoS related to an
SSP
Module 6 Prescription / Performance
Module 8SSP implementation plan
Module 1 Introduction to the
SSP implementation course
Module 7 SSP training programme
Module 4 ICAO SSP framework
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At the end of this module, participants will be able to describe
the ICAO SSP framework as the basic structure to support
the SSP implementation
Objectives
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SSP – The bridge
SSP and SMS components
State responsibilities – General concepts
ICAO SSP framework
Questions and answers
Points to remember
Contents
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SSP development is based upon two basic safety management principles
Safety Risk Management (SRM)
Safety Assurance (SA)
SSP is the bridge that closes the gap that could potentially develop between the internal and external safety processes of a State and the internal safety processes of service providers
SSP development
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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
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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 policiesproceduresmanagement controlsdocumentationcorrective action processes to keep the State safety
management efforts on track
State responsibilities on safety policy and objectives
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Rulemaking and policy development is 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
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Surveillance activities under SSP are supported by hazard identification and safety risk analyses Surveillance of service providers is based on compliance
monitoring as well as the assessment of safety performance of service providers’ SMSCompliance monitoring is based on periodic audits and
inspectionsAssessment of safety performance of SMS leads to
prioritized surveillance based upon the severity of the safety risks of the consequences of the hazards identified by the SMS
State responsibilities on safety assurance
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State must provide its staff
Competence and technical knowledge on subject matter
Additional knowledge regarding hazard identification and safety risk analysis
State must communicate its SSP internally and externally
State responsibilities on safety promotion
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Development and implementation of SSP components and elements
ICAO SSP framework
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1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
ICAO SSP framework
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1.1 – State safety legislative framework
The State has promulgated a national safety legislative framework and specific regulations that define how the State will conduct the management of safety in the State, in compliance with international and national standards
1. State safety policy and objectives
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1.1 – State safety legislative framework
The safety legislative framework and specific regulations define the participation of the State aviation organizations
in specific activities related to the management of safety establish the roles, responsibilities, accountabilities and
relationships of State aviation organizations in such specific activities
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
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1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
ICAO SSP framework
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1.2 – State safety responsibilities and accountabilitiesThe State has defined and documented, regarding the
establishment and maintenance of the SSPrequirementsresponsibilities accountabilities
SSP documentation includesdirectives to plan, develop, maintain and continuously
improve the SSPa clear statement about the allocation of the necessary
resources for the implementation of the SSP
1. State safety policy and objectives
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1.2 – State safety responsibilities and accountabilitiesIdentify and appoint the Accountable Person for the State
SSPThe Accountable Person shall coordinate, as appropriate, the
activities of the various State aviation organizations encompassed under SSP
1. State safety policy and objectives
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1.2 – State safety responsibilities and accountabilities
The Accountable Person for the State SSP shall have
administrative responsibility and accountability, on behalf
of the State, for the implementation, coordination and
maintenance of the SSP
1. State safety policy and objectives
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1.2 – State safety responsibilities and accountabilities
The Accountable Person for the State SSP shall havefinal authority on issues related to the allocation of
resources within the State aviation organization that has been designated as the placeholder for the SSP
authority over service providers’ certificate management aspects
responsibility for the coordination of the resolution of State’s aviation safety issues under the SSP
1. State safety policy and objectives
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1.2 – State safety responsibilities and accountabilities
The State safety policy should include the commitment to allocate the necessary resources
within the State aviation organizations to allow their personnel to discharge their safety management responsibilities
the establishment of an effective State hazard reporting system
...
1. State safety policy and objectives
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1.2 – State safety responsibilities and accountabilities
...
specific operating regulations and implementation policies for service providers’ SMS
The specific operating regulations and implementation policies are periodically reviewed to ensure they remain relevant and appropriate to the service providers
1. State safety policy and objectives
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ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
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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
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1.3 – Accident and incident investigationAccident and incident investigation are in support of the
management of safety in the StateIn 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
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ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
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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 context of their SMS, to the satisfaction of the appropriate State authority
under which to deal with safety deviations through established enforcement procedures
1. State safety policy and objectives
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1.4 – Enforcement policy
The enforcement policy should ensure that no information derived from an internal reporting process or a flight data monitoring process (qualifying for protection) established under an 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
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ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers’ SMS2.2 Agreement on service providers’ safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
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2.1 – Safety requirements for service providers’ SMSThe State has established the requirements which define how
service providers will identify hazards and manage safety risks
2. State safety risk management
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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
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ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
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2.2 – Agreement on service providers safety performance
The State has agreed individually with each service provider the safety performance of their SMS
The agreed safety performance of individual service providers SMS isperiodically reviewed to ensure it remains relevant and appropriate to the service providers
Further developed in Module 6
2. State safety risk management
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1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
ICAO SSP framework
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3. State safety assurance
3.1 - Safety oversight
The State has established mechanisms that include inspections, audits and surveys in order to ensure that the identification of hazards and the management of
safety risks by service providers follow established regulatory controls
regulatory safety risk controls are appropriately integrated into the service providers’ SMS
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ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
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3.2 – Safety data collection, analysis and exchange
The State has developed and established means to capture and store data on hazards and safety risks at both individual and aggregate level within the State
3. State safety assurance
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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
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3.2 – Safety data collection, analysis and exchange
Means to capture and store data on hazards and safety risks may include
Reporting systemsCapture data on hazards and safety risks
State safety hazard databaseStore data on hazards and safety risks
The importance of common taxonomies and software applications (ADREP and ECCAIRS)
3. State safety assurance
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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
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ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
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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
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ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
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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
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ICAO SSP framework
1. State safety policy and objectives1.1 State safety legislative framework1.2 State safety responsibilities and accountabilities1.3 Accident and incident investigation1.4 Enforcement policy
2. State safety risk management2.1 Safety requirements for service providers SMS2.2 Agreement on service providers safety performance
3. State safety assurance3.1 Safety oversight3.2 Safety data collection, analysis and exchange3.3 Safety data driven targeting of oversight on areas of greater concern or need
4. State safety promotion4.1 Internal training, communication and dissemination of safety information4.2 External training, communication and dissemination of safety information
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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
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Questions and answers
ICAO SSP framework
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Questions and answers
Q: What are the State responsibilities on safety risk management?
A: ?
Slide number:
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Q: Under the State responsibilities on safety promotion, which are the requirements for State safety oversight authority technical personnel?
A: ?
Slide number:
Questions and answers
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Q: What are the elements of the State safety assurance SSP component, included in the ICAO SSP framework?
A: ?
Questions and answers
Slides number:
Module N° 4 ICAO State Safety Programme (SSP) Implementation Course 50
1. SSP – SMS components
2. State responsibilities
3. Components and elements of the ICAO SSP framework
Points to remember
Revision N° 5 ICAO State Safety Programme (SSP) Implementation Course
25/02/10
Module N° 4 ICAO SSP framework