Module N° 6 – Prescription/Performance based environment

Module N° 6 – Prescription/Performance based

environment

SSP – A structured approach

Module 2Basic safety management

concepts

Module 3 ICAO SARPs related

to safety management

Module 4 ICAO SSP framework

Module 5State ALoS

Module 6 Prescription /

Performance based environment

Module 8SSP familiarization plan

Module 1 Introduction to the SSP familiarization

course

Module 7 SSP training programme

Module 6 Prescription /


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 State’s safety risk

management and safety assurance

Objective

Prescription/performance basedSSP – State safety risk management componentSSP – State safety assurance componentThe bridge – again Acceptable levels of safety – SSP Safety performance – SMS Clarifying a relationshipQuestions

Contents

Prescription/performance based environment

Prescriptive environment

Regulations as administrative controls

Rigid regulatory framework

Inspections

Audits

Regulatory compliance


Regulations as safety risk controlsDynamic regulatory framework:

Data based identification and prioritization of safety risks Effective safety

performance

Example

A prescriptive environment uses regulations mostly as administrative controlsExample – 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 controlsExample – An aeroplane shall not be refuelled when

passengers embarking, on board or disembarking

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

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


.


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


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.






ICAO SSP framework

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

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.



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

The bridge – again

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. …

Actionplans

1. Constant Descend Arrivals (CDA) procedures implemented – Arrival procedures charts designed for stabilized approaches

2. Installation of ASDE/X in 5 international [State] airports3. ….

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. …

StateWill comply all applicable international standards.

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. …

Action plans1. Training course for drivers / installation of specific signage2. Thrice-daily walk-in ramp inspection programme3. …

Safety performance indicators

1. 20 events of unauthorized vehicles on the taxiways per 10,000 operations2. 15 FOD events on the apron per 10,000 operations3. …

Service providerSMS

Shall comply with all applicable national and international standards





ICAO SSP framework

Prescription / Performance – Summary

Prescription Performance2.1 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 performanceThe State has agreed with individual service providers on the safety performance of their SMS.

3.2 Safety data collection, analysis and exchangeThe 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 needThe 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.

Clarifying a relationship

Protection Production

SSP2.1 Safety requirements 3.1 Safety oversight

SMS2.1 Safety requirements 3.1 Safety oversight

Service delivery

Objective:Safety riskmanagement

Objective :Safety riskmanagement

Performance2.2 SMS safety performance3.2 and 3.3 Collection, analysis and data follow-up

Prescription:InspectionsAuditsSurveys

3. Safety assurance

Questions?

Prescription/Performance based environment

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

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

Objective of the exerciseTo develop values of safety indicators, safety targets

and action plans of a mature ALoS (Safety measurement / safety performance measurement) based onquantification of outcomes of selected high-level/high-

consequence eventsquantification of selected high-level State functionsquantification of outcomes of selected low-level/low-

consequence eventsRefer to Module 5 for guidance for values of safety

indicators, action plans and values of safety targetsTime allocated

Three hours


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...


Task requiredPart 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)


Task requiredPart 2 (Complete Table 2)Develop as a minimum:

Five (5) safety indicators and five (5) safety targetsFive (5) values of safety indicators and five (5) values

of safety targetsFive (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


Table1

SMS – Approved training organizations that are exposed to safety risks during the provision of their services (ATO)

# Value of safety indicators Action plans Value of safety targets Comments

1

2

3

SMS – Aircraft operators (OPS)


1

2

3

SMS – Approved maintenance organizations (AMO)


1

2

3

Table 2

ALoS

# Safety indicators # Safety targets

1 1

2 2

3 3

4 4

5 5

# Value of safety indicators # Values of safety targets

1 1

2 2

3 3

4 4

5 5

# Action plans

1

2

3

4

5

Elect a facilitatorStart 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 provider’s 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”

Module N° 6 – Prescription/Performance based

environment

Documents

Module N° 6 – Prescription/Performance based environment