Module N° 6 Prescription / Performance

1. Revision N° 5 ICAO State Safety Programme (SSP) Implementation Course 25/02/10 Module N° 6 Prescription / Performance

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

3. Objective • At the end of this module, participants will be able to describe the concepts of prescription and performance, their integration in the SRM and SA components of an SSP, and the role of the SA component of the SSP in the safety surveillance activities of the State

4. Contents • Prescription and performance • SSP – State safety risk management component • SSP – State safety assurance component • SA today • SA under SSP • Questions and answers • Points to remember • Exercise N° 2 – Development of values of safety indicators, safety targets and action plans of a mature ALoS related to an SSP

5. The objective (Remember Module 1?) Safety management principles ICAO SARPS Realistic implementation Prescription Performance

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

7. Example • Prescriptive regulations establish “what” is to be achieved and “how” it must be achieved • Example – An operator shall not conduct fuelling procedures when passengers are embarking, on board or disembarking • Performance-oriented regulations establish “what” is to be achieved, but provide flexibility on “how” it must be achieved • Example – An operator shall establish procedures for the protection against fire during fuelling operations

8. 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

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 Activities that allow the State to carry out safety risk management based on combined prescription / performance architecture

10. 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 .

11. 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 • Performance-based element • Agreement with the service provider on SMS short, medium and long-terms objectives of safety performance

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. 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 assurance based on combined prescription / performance architecture

14. 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 • Prescription element • Supervision based on inspections, audits and surveys

15. 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 • Performance-based element • Verification that the service provider delivers agreed SMS safety performance

16. 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

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

18. Safety performance of an SMS Safety performance targets Maintain no more than 20 events of unauthorized vehicles on the taxiways per 10,000 operations By January 2010 reduce to 8 FOD events on the apron per 10,000 operations … Action plans Training course for drivers / installation of specific signage Thrice-daily walk-in ramp inspection programme … Safety performance indicators 20 events of unauthorized vehicles on the taxiways per 10,000 operations 15 FOD events on the apron per 10,000 operations … Service provider SMS Shall comply with all applicable national and international standards

19. Prescription / Performance – Summary Prescription 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 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

20. The bridge – again Performance ALoS Safety performance Prescription SSP SMS

21. Safety oversight is defined as a function by which States ensure effective implementation of the safety related SARPs and associated procedures The implementation of an effective safety oversight system is based upon the critical elements (CE) for safety oversight Safety oversight: The critical elements

22. Critical elements (CE) 3 State civil aviation and safety oversight functions 4 Technical personnel qualification and training The eight (8) critical elements of a safety oversight system encompass the whole spectrum of civil aviation activities 2 Specific operating regulations Establishment 5 Technical guidance, tools and provision of safety critical information 1 Primary aviation legislation USOAP Implementation 6 Licensing, certification, authorizations and approval obligations 8 Resolution of safety concerns 7 Surveillance obligations

23. Oversight capability of a State safety oversight authority is based on the effective implementation of the eight (8) critical elements Surveillance by a State safety oversight authority is one of the eight critical element (CE-7) and basically is a method for carrying out and verifying regulatory compliance throughout inspections, audits and surveys Oversight and surveillance

24. Safety surveillance: prescriptive audits • The objectives of a State’s safety oversight are satisfied through administrative controls (inspections y audits) carried out regularly by the State

25. State SA today: prescriptive surveillance State’s safety surveillance • Acceptance • Prescriptive • surveillance Service providers

26. State SA under SSP • Present-day prescriptive surveillance will extend to performance-based surveillance • Under SSP, the State SA will include a combination of acceptance and prescriptive surveillance, and performance-based surveillance

27. State SA under SSP Production Protection State Safety Programme (SSP) Objective: Support safety objectives State • Performance-based • surveillance • Acceptance • Prescriptive surveillance Objective: Support production objectives Service delivery Organization’s Safety Management system (SMS) Objective: Support safety objectives Services provider • Safety assurance

28. Prescription/Performance Questions and answers

29. Questions and answers • Q: What is the objective of regulations as safety risk controls on a performance-based environment? • A: ? Slide number:

30. Questions and answers • Q: What tools are used for supervision in the prescription element “safety oversight”? • A: ? Slide number:

31. Questions and answers • Q: Whatis the basic method for carrying out and verify regulatory compliance in accordance with critical element CE-7? • A: ? Slide number:

32. Points to remember • Prescriptive and performance-oriented regulations • Prescriptive and performance elements of the SSP framework • SA under SSP

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

34. Working group activities • 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 of the group) will brief on the results

35. Working group activities • 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 • 03:00 hours

36. Working group activities • Your task • Part 1 (Complete Table 06/01) • 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 • ...

37. Working group activities • Task required • Part 1 (Complete Table 06/01) • 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)

38. Working group activities • Task required • Part 2 (Complete Table 06/02) • 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 06/01

39. Table 06/01 – Values of safety indicators and targets

40. Table 06/02 = Mature ALoS

41. Exercise “useful tips” • 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) • 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

42. Module N° 6 Prescription / Performance