Module N° 3 – ICAO SARPs
related to safety management
SSP – A structured approach
Module 7
SSP training
programme
Module 8
SSP familiarization plan
Module 4
ICAO SSP
framework
Module 5
State ALoS
Module 6
Prescription /
Performance based
environment
Module 1
Introduction to the
SSP familiarization
course
Module 2
Basic safety
management
concepts
Module 3
ICAO SARPs related
to safety
management
Objective
At the end of this module, participants will be familiar with
ICAO SARPs and related guidance material concerning
safety management; and the role of the SSP in ensuring that
safety risk controls are established
Contents
 The big picture
 What is an SSP?
 What is an SMS?
 Safety accountabilities
 SSP/SMS relationships
 State’s safety oversight
 Critical elements
 Service providers responsibilities
 Questions
ICAO safety management SARPs – The big picture
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
Basic safety management SARPs – Part I
States shall establish a State safety programme (SSP), in
order to achieve an acceptable level of safety (ALoS) in civil
aviation
What is an SSP?
An integrated set of regulations and activities aimed at
improving safety
An SSP is a management system for the management of
safety by the State
SSP in context
The implementation of an SSP must be commensurate with
the size and complexity of the State’s aviation system
SSP in context
The implementation of an SSP may require coordination
among multiples authorities responsible for individual
element functions in the State
Basic safety management SARPs – Part I
The acceptable level of safety (ALoS) to be achieved shall
be established by the State
Basic safety management SARPs – Part II
States shall require, as part of their State safety programme
(SSP), that a [service provider] implement a safety
management system (SMS) acceptable to the State that, as
a minimum:
a) identifies safety hazards;
b) ensures the implementation of remedial action
necessary to maintain agreed safety performance
c) provides for continuous monitoring and regular
assessment of the safety performance; and
d) aims at a continuous improvement of the overall
performance of the safety management system
Service providers
The following service providers are required to implement
ICAO SARPs on SMS:
1. Approved training organizations that are exposed to safety
risks during the provision of their services
2. Aircraft operators
3. Approved maintenance
organizations
4. Organizations responsible for
design and/or manufacture of
aircraft
5. Air traffic services providers
6. Certified aerodromes
What is an SMS?
A systematic approach to
managing safety, including the
necessary organizational
structures, accountabilities,
policies and procedures
Service providers are responsible
for establishing an SMS
States are responsible, under the
SSP, for the acceptance and
oversight of service providers’
SMS
Basic safety management SARPs – Part III
A safety management system (SMS) shall clearly define lines
of safety accountability throughout a service provider
organization, including a direct accountability for safety on
the part of senior management
(Accountability –
Obligation or
willingness
to account for
one’s actions)
State safety responsibilities and accountabilities
The State should identify and clearly define the safety
requirements, responsibilities and accountabilities regarding
the establishment and maintenance of the SSP
State safety responsibilities and accountabilities
Safety responsibilities within an SSP are functions and
duties which describe the safety purpose of what an
individual is required to do, with regard to the operation of the
SSP
Safety accountabilities within an SSP are statements of
what an individual is required to deliver, either directly or
through supervision and management of others, including
those to whom the individual has delegated responsibility,
with regard to the operation of the SSP
Basic safety management SARPs in summary
State
States shall establish a
State safety programme
(SSP), in order to achieve
an acceptable level of
safety (ALoS) in civil
aviation.
The acceptable level of
safety (ALoS) to be
achieved shall be
established by the State.
Service provider
States shall require, as part of their
State safety programme (SSP), that a
[service provider] implements a safety
management system (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 continuing monitoring
and regular assessment of the safety
performance; and
 aims at a continuous improvement of
the overall performance of the SMS.
SSP – SMS relationship
Production
Protection
State
Safety
Programme
(SSP)
Acceptance
Compliance
oversight
Performance-based
oversight
Organization’s
Safety
Management
system (SMS)
Service delivery
Safety assurance
Objective:
Support
production
goals and
customer
satisfaction
Services provider
Objective:
Safety risk
management
State
Objective:
Safety risk
management
State’s safety oversight
State’s
Safety
oversight
Acceptance
Compliance
oversight
Service
providers
State’s safety oversight
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 eight critical elements for safety oversight
(CE)
Critical Elements
State’s safety oversight
The objectives of a State’s safety oversight are satisfied
through administrative controls (inspections, audits and
surveys) carried out regularly by the State (CAA)
State’s safety oversight
States generally have a system of regulations, but do not
require a safety risk analysis as pre-requisite for regulatory
development
States may not monitor the effectiveness of regulations as
safety risk controls
A State’s safety oversight system may not include safety risk
controls
State’s safety oversight
Regulation development under an SSP observes safety risk
management principles, as follows
1) Hazard identification
2) Safety risk analysis
3) Mitigation of hazard’s consequences
4) Measurement of mitigation effectiveness and efficiency
The SSP ensures safety risk controls are established
Regulations as safety risk controls
Production
Protection
State
Safety
Programme
(SSP)
Acceptance
Compliance
oversight
Performance-based
oversight
Organization’s
Safety
Management
system (SMS)
Service delivery
Safety assurance
Objective:
Support
production
goals and
customer
satisfaction
Services provider
Objective:
Safety risk
management
State
Objective:
Safety risk
management
ICAO SARPs related to the SSP
Questions?
Module N° 3 – ICAO SARPs related to
safety management