ICAO State Safety Programme SSP Implementation Course

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(No Transcript)
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SSP A structured approach
Module 4 ICAO SSP framework
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Objective

• At the end of this module, participants will be
  able to describe the ICAO SSP framework, its
  components and elements as the means to implement
  the SSP and explain the role of the SSP in
  supporting the implementation of SMS by service
  providers

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Contents

• SSP The bridge
• SSP and SMS components
• State responsibilities General concepts
• ICAO SSP framework
• Questions and answers
• Points to remember
• Exercise N1 Development of a State model
  regulation for an SSP

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SSP development

• SSP development is based upon basic safety
  management principles (SRM and SA)
• SSP is the bridge that closes the gap between the
  internal and external safety processes of a State
  and the internal safety processes of service
  providers

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SSP and SMS components
SMS components
SSP 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

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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

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State responsibilities on safety risk management

• Rulemaking and policy development 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

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State responsibilities on safety assurance

• Effective and efficient implementation of SSP
  oversight activities supported by hazard
  identification and safety risk analyses
• Effective and efficient implementation of
  oversight activities of service providers based
  on the assessment of safety performance of
  service providers SMS
• Priorities regarding resource allocation are
  based upon the severity of the safety risks of
  the hazards identified
• Compliance monitoring is based on conventional
  auditing

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State responsibilities on safety promotion

• State must provide its staff
• Competence and technical knowledge
• Additional knowledge regarding hazard
  identification and safety risk analysis
• State must communicate its SSP internally and
  externally

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Development and implementation of SSP components
and elements

• ICAO SSP framework

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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

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1. State safety policy and objectives

• 1.1 State safety legislative framework
• The State has promulgated a national safety
  legislative framework and specific regulations in
  compliance with international and national
  standards that define how the State will conduct
  the management of safety in the State

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1. State safety policy and objectives

• 1.1 State safety legislative framework
• The safety legislative framework
• defines the participation of the State aviation
  organizations in specific activities related to
  the management of safety in the State
• establishes the roles, responsibilities, and
  relationships of such organizations
• The safety legislative framework and specific
  regulations are periodically reviewed to ensure
  they remain relevant and appropriate to the State

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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

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1. State safety policy and objectives

• 1.2 State safety responsibilities and
  accountabilities
• The State has identified, defined and documented
  the requirements, responsibilities and
  accountabilities regarding the establishment and
  maintenance of the SSP including
• the directives to plan, organize, develop,
  maintain, control and continuously improve the
  SSP in a manner that meets the States safety
  objectives
• a clear statement about the provision of the
  necessary resources for the implementation of the
  SSP

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1. State safety policy and objectives

• 1.2 State safety responsibilities and
  accountabilities
• Identify and appoint the Accountable Executive
  for the State SSP
• The Accountable Executive will coordinate as
  appropriate, the activities of the various State
  aviation organizations encompassed under SSP

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1. State safety policy and objectives

• 1.2 State safety responsibilities and
  accountabilities
• The Accountable Executive for the State SSP shall
  have administrative responsibility and
  accountability, on behalf of the State, for the
  implementation and maintenance of the SSP
• Operational responsibility and accountability for
  the performance of the SSP shall remain within
  the various State organizations encompassed under
  the SSP

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1. State safety policy and objectives

• 1.2 State safety responsibilities and
  accountabilities
• The Accountable Executive for the State SSP,
  shall have
• authority on major financial issues related to
  State aviation organization that has been
  designated as placeholder for the SSP
• authority over service providers certificate
  management aspects
• responsibility for the coordination of the
  resolution of all States aviation safety issues
  under the SSP

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1. State safety policy and objectives

• 1.2 State safety responsibilities and
  accountabilities
• Establishment of an SSP implementation team
• Assign the time required for each task associated
  to the implementation of the SSP among the
  different management levels of the State aviation
  organizations
• Introduce all staff to SSP concepts at a level
  commensurate to the involvement of each staff
  member within the SSP
• Further developed in Module 8

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1. State safety policy and objectives

• 1.2 State safety responsibilities and
  accountabilities
• Develop and implement a State safety policy that
  includes
• the commitment to strategies and processes to
  ensure that all aviation activities under
  oversight will achieve the highest level of
  safety performance
• the implementation of a national safety
  legislative framework and applicable operating
  regulations for the management of safety in the
  State
• ...

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1. State safety policy and objectives

• 1.2 State safety responsibilities and
  accountabilities
• ...
• the commitment to allocate the necessary
  resources within the State aviation
  organization(s) to allow their personnel to
  discharge their responsibilities, both
  safety-related and otherwise
• the support of the management of safety in the
  State through an effective hazard reporting and
  communication system
• ...

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1. State safety policy and objectives

• 1.2 State safety responsibilities and
  accountabilities
• ...
• the establishment of provisions for the
  protection of safety data, collection and
  processing systems (SDCPS)
• the commitment to an effective interaction with
  service providers in the resolution of safety
  concerns
• the commitment to communicate, with visible
  endorsement, the State safety policy to all staff
• an enforcement policy that reflects service
  providers
• operations in an SMS environment

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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

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1. State safety policy and objectives

• 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

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1. State safety policy and objectives

• 1.3 Accident and incident investigation
• Accident and incident investigation are in
  support of the management of safety in the State
• In the operation of the SSP, the State maintains
  the independence of the accident and incident
  investigation organization from other State
  aviation organizations

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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

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1. State safety policy and objectives

• 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 SMS environment to the
  satisfaction of the appropriate State authority
• allow the State to define the conditions under
  which to deal with safety deviations through
  established enforcement procedures

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1. State safety policy and objectives

• 1.4 Enforcement policy
• The enforcement policy should ensure that no
  information derived from an internal reporting
  process or a flight data monitoring process
  established under a 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

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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

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2. State safety risk management

• 2.1 Safety requirements for service providers
  SMS
• The State has established the requirements which
  govern how service providers will identify
  hazards and manage safety risks

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2. State safety risk management

• 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

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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

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2. State safety risk management

• 2.2 Agreement on service providers safety
  performance
• The State has agreed with individual service
  providers on the safety performance of their SMS
• The agreed safety performance of individual
  service providers SMS is periodically reviewed to
  ensure it remains relevant and appropriate to the
  service providers
• Further developed in Module 6

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2. State safety risk management

• 2.2 Agreement on service providers safety
  performance
• The agreed safety performance of the SMS shall be
• Commensurate to the complexity of individual
  service providers specific operational contexts
• Commensurate with the availability of individual
  service providers resources to address safety
  risks

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2. State safety risk management

• 2.2 Agreement on service providers safety
  performance
• Periodical reviews of the agreed safety
  performance of the SMS shall be conducted to
  ensure it remains relevant and appropriate to the
  service providers

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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

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3. State safety assurance

• 3.1 Safety oversight
• The State has established mechanisms to ensure
  that the identification of hazards and the
  management of safety risks by service providers
  follow established regulatory controls
  (requirements, specific operating regulations and
  implementation policies)

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3. State safety assurance

• 3.1 Safety oversight
• These mechanisms include inspections, audits and
  surveys to ensure that
• regulatory safety risk controls are appropriately
  integrated into the service providers SMS
• regulatory safety risk controls are being
  practiced as designed
• the regulatory controls have the intended effect
  on safety risks

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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

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3. State safety assurance

• 3.2 Safety data collection, analysis and
  exchange
• The State has developed and established means to
• capture data on hazards and safety risks at both
  an individual and aggregate level within the
  State
• store data on hazards and safety risks at both an
  individual and aggregate level within the State

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3. State safety assurance

• 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

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3. State safety assurance

• 3.2 Safety data collection, analysis and
  exchange
• Means to capture and store data on hazards and
  safety risks may include
• Reporting systems
• Capture data on hazards and safety risks
• State safety hazard database
• Store data on hazards and safety risks

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3. State safety assurance

• 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

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3. State safety assurance

• 3.2 Safety data collection, analysis and
  exchange
• Means of exchanging information and/or data with
  other sources of safety information
• Bi-lateral agreements
• Joint safety authorities agreements
• Common taxonomies and software applications
  (ADREP and ECCAIRS)
• Web-based applications

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3. State safety assurance

• 3.2 Safety data collection, analysis and
  exchange
• Establish and maintain a safety library to store
  documentation related to
• the national safety legislative framework
• the State safety policy and objectives
• the SSP requirements, processes, procedures,
  responsibilities and accountabilities
• data on hazards and safety risks
• the ALoS related to the SSP
• service providers SMS

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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

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3. State safety assurance

• 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

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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

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4. State safety promotion

• 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 individuals involvement in
  the SSP

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4. State safety promotion

• 4.1 Internal training, communication and
  dissemination of safety information
• An SSP training programme for staff should be
  developed around the four components of the SSP,
  and include
• Indoctrination/initial safety training
• On the job (OJT) safety training
• Recurrent safety training
• The SSP training programme shall include SMS
  training for the staff involved in the acceptance
  and oversight of the service providers SMS
• Further developed in Module 7

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4. State safety promotion

• 4.1 Internal training, communication and
  dissemination of safety information
• The State shall develop and maintain formal means
  for internal safety communication to
• convey safety critical information
• explain why safety requirements and procedures
  are introduced or changed
• The State shall establish means to communicate
  safety related issues internally via
• safety regulations, policies and procedures
• news letters
• bulletins
• website

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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

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4. State safety promotion

• 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

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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
• Rulemaking and policy development 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 when adopted by
  service providers SMS

Slide number 8
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Questions and answers

• Q Under the State responsibilities on safety
  promotion, which are the requirements for State
  safety oversight authority technical personnel?
• A
• Competence and technical knowledge
• Additional knowledge regarding hazard
  identification and safety risk analysis

Slide number 10
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Questions and answers

• Q What are the elements of the State safety
  assurance SSP component, included in the ICAO
  SSP framework?
• A
• Safety oversight
• Safety data collection, analysis and exchange
• Safety data driven targeting of oversight on
  areas of greater concern or need

Slide number 37
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Points to remember

• SSP SMS components
• State responsibilities
• Components and elements of the ICAO SSP framework

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Exercise N1 Development of a State model
regulation for an SSP

• ICAO SSP framework

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Working group activities

• Participants will be divided into different
  groups
• A facilitator will be appointed, who will
  coordinate the discussions and activities of each
  group
• A summary of discussions will be written in
  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

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Working group activities

• Objective of the exercise
• To develop a State model regulation for an SSP on
  the basis of the SSP ICAO framework
• Time allocated
• Two hours

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Working group activities

• Your task
• To develop a draft States regulation for the
  States Safety Programme (SSP) on the basis of
  the SSP ICAO framework and taking into account
  the following main aspects
• Statutory basis
• Scope
• Applicability
• References
• Definitions
• General
• Regulatory content

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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)
• In order to adequately manage the allocated time,
  each group could eventually be divided into
  sub-groups to deal with each component and
  corresponding elements, as in the ICAO SSP
  framework
• 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

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Module N 4 ICAO SSP framework