ICAO State Safety Programme (SSP) Overview 4ta Jornada de Seguridad Operacional del INAC Caracas, Venezuela, November 2011

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1 International Civil Aviation Organization ICAO State Safety Programme (SSP) Overview 4ta Jornada de Seguridad Operacional del INAC Caracas, Venezuela, November 2011 Eduardo Chacin Regional Officer Flight Safety ICAO

2 Contents ICAO Strategic Objectives ICAO Safety Framework Global Aviation Safety Plan (GASP) State Safety Programme (SSP) Summary 2

3 ICAO Role ICAO role in promoting a safety and efficient industry To meet the needs of the peoples of the world for a safe, regular, efficient and economical air transport (Chicago Convention, Article 44) 3

4 ICAO Strategic Objectives : Safety Security Sustainability 4

5 ICAO Safety Framework Safety Data Policy & Standardization GASP Update Safety Annex Safety Analysis Evolving to a risk based process Safety Monitoring Continuous Monitoring Approach Implementation Runway Safety Collaboration States, Regional and International Organizations, Learning Institutions, etc. 5

6 ICAO GASP & ISSG GASR GASP: Global Aviation Safety Plan ISSG: Industry Safety Strategy Group GASR: Global Aviation Safety Roadmap Visit: 6

7 Global Aviation Safety Plan GASP High level policy document Guiding efforts of the States, industry and international organizations Update scheduled for 2011 Introduce safety management principles to create a strategic approach to implementation of Global Safety Initiatives (GSIs) In parallel and harmony with the update of the Global Aviation Safety Roadmap (GASR) 7

8 Current Global Safety Initiatives (GSIs) (GSI 1) CONSISTENT IMPLEMENTATION OF INTERNATIONAL STANDARDS AND INDUSTRY BEST PRACTICES (GSI 2) CONSISTENT REGULATORY OVERSIGHT (GSI 3) EFFECTIVE ERRORS AND INCIDENTS REPORTING (GSI 4) EFFECTIVE INCIDENT AND ACCIDENT INVESTIGATION (GSI 5) CONSISTENT COORDINATION OF REGIONAL PROGRAMMES (GSI 6) EFFECTIVE ERRORS AND INCIDENTS REPORTING AND ANALYSIS IN THE INDUSTRY (GSI 7) CONSISTENT USE OF SAFETY MANAGEMENT SYSTEMS (SMS) (GSI 8) CONSISTENT COMPLIANCE WITH REGULATORY REQUIREMENTS (GSI 9) CONSISTENT ADOPTION OF INDUSTRY BEST PRACTICES (GSI 10) ALIGNMENT OF INDUSTRY SAFETY STRATEGIES (GSI 11) SUFFICIENT NUMBER OF QUALIFIED PERSONNEL (GSI 12) USE OF TECHNOLOGY TO ENHANCE SAFETY 8

9 Objective of Updated GASP Strategic coordination of global safety activities Guide the prioritization and allocation of aviation safety resources Measureable achievement of global safety targets GASP 9

10 Proposed Global Safety Initiatives (GSIs) GSI 1: Implementation of International Standards and Recommended Practices GSI 2 Establishment and Management of a Regulatory Oversight System GSI 3 Maintaining Sufficient Number of Qualified Personnel GSI 4 Establishment and Management of Accident and Incident Investigation Capabilities GSI 5 Establishment and Management of a Safety Reporting System GSI 6 Alignment and Coordination of Regional Programmes GSI 7 Implementation of State Safety Programme (SSP) GSI 8 Use of Technology to Enhance Safety GSI 9 Continuous Monitoring and Improvement of State s Aviation Safety System 10

11 Strategic Approach Goal Reduce the risk of loss of human life through continuously enhancing aviation safety Safety Targets Safety targets will be defined according to risk criteria Continually measured for significant change Global Safety Initiatives Linked to global safety targets Specific metrics will monitor GSI effectiveness Goal Safety Targets Global Safety Initiatives 11

12 ICAO High level Safety Conference 2010 Recommendation 2/5 ICAO should develop, in close collaboration with States, international and national organizations, a new Annex dedicated to safety management responsibilities and processes which would address the safety management responsibilities of States framed under the State Safety Programme (SSP) The new Safety Management Annex should facilitate the provision of State and air carrier safety information to the travelling public, in addition to specifying the high level safety responsibilities of States 12

13 New Safety Annex 19 Safety Management Two phased development process: Initial phase focused on the reorganization of existing SARPs and supporting guidance material Concurrently, an in depth review of SARPs will be initiated to assess whether they need to be amended or expanded 13

14 Safety Management Guidance Material Safety Management Manual Update planned for 2011 Detailed guidance to be developed for SMS / SSP implementation 14

15 Current SARPs for SSP / SMS SARPs: Standards and Recommended Practices 15

16 Evolution of Safety Thinking 16

17 Workplace interactions/humanevolution in understanding safety Aviation workplaces involve complex interrelationships among its many components To understand operational performance, we must understand how it may be affected by the interrelationships among the various components of the aviation work places SHEL MODEL Software (S) (procedures, training, support, etc.); Hardware (H) (machines and equipment); Environment (E) (the operating circumstances in which the rest of the L H S system must function); and Liveware (L) (humans in the workplace) 17

18 Safety Facts The elimination of accidents and serious incidents is unachievable Failures will occur in spite of the most accomplished prevention efforts No human activity or human made system can be guaranteed to be absolutely free from hazard and operational errors Controlled safety risk and controlled error are acceptable in an inherently safe system 18

19 Safety Concept (ICAO 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 19

20 Prescription & Performance Safety Management principles ICAO SARPS Realistic implementation Prescription Performance 20

21 Prescription & Performance cont. Prescriptive regulations Prescribe what the safety requirements are and how they are to be met. Performance based regulations Specify the safety requirements to be met, but provide flexibility in terms of how safety requirements are met 21

22 Prescription / Performance Prescriptive based environment Regulations as administrative controls Rigid regulatory framework Inspections Audits Regulatory compliance Performance Prescriptive based environment Regulations as safety risk controls Dynamic regulatory framework Data based identification Prioritization of safety risks Effective safety performance 22

23 ICAO SARPs Two audience groups States Service providers Three distinct requirements State safety programme (SSP) Acceptable level of safety (ALoS) Safety management System (SMS) Safety performance of the SMS Management accountability 23

24 State Safety Programme (SSP) States shall establish a State safety programme (SSP), in order to achieve an acceptable level of safety (ALoS) in civil aviation It is an integrated set of regulations and activities aimed at improving safety It is a management system for the administration of safety by the State 24

25 SSP cont. 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 The acceptable level of safety (ALoS) to be achieved shall be established by the State 25

26 SSP cont. Most frequently, within each State, there will be different acceptable levels of safety (ALoS) that will be separately agreed between the oversight authority and individual services providers When the State is responsible for the provision of specific services (e.g. aerodromes, air navigation services, etc.) the organization providing the service should develop and implement an SMS 26

27 Safety Management System (SMS) A systematic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures 27

28 SMS cont. States shall require, as part of their SSP, that a service provider implement an 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 aims at a continuous improvement of the overall performance of the safety management system 28

29 Service Providers required to implement an 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 29

30 SSP and SMS Components SSP components SMS components State safety policy and objectives State safety risk management State safety assurance State safety promotion Safety policy and objectives Safety risk management Safety assurance Safety promotion 30

31 1. 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 31

32 2. State responsibilities on Safety Risk Management (SRM) 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 32

33 3. State responsibilities on Safety Assurance (SA) 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 SMS Compliance monitoring is based on periodic audits and inspections Assessment 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 33

34 4. State responsibilities on Safety Promotion 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 34

35 Safety Risk Management (SRM) & Safety Assurance (SA) 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 35

36 State Safety Assurance (SA) Today: Prescriptive Surveillance State s safety surveillance Acceptance Prescriptive surveillance Service providers 36

37 State Safety Assurance (SA) under SSP Objective: Support safety objectives Objective: Support safety objectives Acceptance Prescriptive surveillance State Safety Programme (SSP) Organization s Safety Management system (SMS) Performance-based surveillance Service delivery Objective: Support production objectives 37

38 ICAO SSP Framework 1. 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 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 38

39 Prescription / Performance Prescription 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 Performance 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 39

40 SSP Implementation Plan PHASE I Initial SSP Plan and Draft Elements: 1.1, 1.2, 1.3, 1.4, 2.1, 3.2 and 4.1 Timeline PHASE II Initial SSP Collect and evaluate Elements: 2.1, 3.1, 3.2; 4.1 and 4.2 PHASE III Mature SSP Collect and evaluate Elements: 2.2, 3.2, 3.3 and 4.1 Develop SSP documentation Element 3.2 Establish means for safety communication Elements 4.1 and 4.2 Develop and deliver training Elements 4.1 and

41 Basic Safety Management SARPs State Service provider States shall establish a State safety programme (SSP), in order to achieve an acceptable level of safety (ALoS) in civil aviation ALoS to be achieved shall be established by the State States shall require, as part of their SSP, that a service provider implement an 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 aims at a continuous improvement of the overall performance of the safety management system 41

42 SSP & SMS Relationship ALoS Performance Safety performance SSP Prescription SMS 42

43 Summary Aviation is the safest mode of transportation There is no perfect safety system Successful safety management requires the active participation of all levels of management and supervision A clear understanding of the relationship between an SSP and an SMS is essential for concerted safety management action within States The basic objective of a State, through its SSP, is to ensure public safety during service delivery by service providers It is achieved by defining the ALoS for the SSP and through the control of safety risks within the State by the two operational components of the SSP: Safety Risk Management (SRM) and Safety Assurance (SA) ICAO is supporting the implementation of SSP and SMS 43

44 For additional información: Contact: Visit: Thank You! 44

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