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International Civil Aviation Organization
An Incremental Approach toPerformance Based Oversight
Henry GourdjiChief, Continuous Monitoring & Oversight,
Air Navigation Bureau, ICAO
EASA Safety Conference 2012October 10‐11
Cologne, Germany
EASA Safety Conference 2012
Implementation
Safety monitoring & analysis
ICAOs Focus on Safety
Policy & Standardization
– An integrated risk‐based approach
– Measuring safety performance
– Evolving toward a comprehensive assessment of safety
Implementation efforts
EASA Safety Conference 2012
Introduction
State of Global Safety (abridged) Traffic Summary Accident trends
Global Aviation Safety Policy System of systems Governance Priorities
Global Safety Objectives
Initiatives
New GASP
EASA Safety Conference 2012
Challenges
States have a wide range of safety oversight capabilities and air transportation systems that vary considerably in size, complexity and growth rates 1. The maturity of State safety oversight systems varies
significantly, with 45% of all Member States lacking basic safety oversight capabilities to certify their aviation service providers
2. The evolution to a risk‐based approach requires that States first implement basic safety oversight functions as a pre‐requisite to SSP development
3. State safety oversight functions will need to evolve further to support the ATM systems of the future
EASA Safety Conference 2012
Common objectives
The GASP includes 3 objectives, undertaken in parallel to address the safety requirements of all States1. All Member States must demonstrate competence to issue
approvals, licenses or certificates for the service providers under their authority
2. States having established fundamental safety oversight competence should develop risk‐based capabilities and achieve an optimal level of compliance with ICAO SARPs
3. States implementing future ATM systems must further develop performance‐based safety oversight systems
EASA Safety Conference 2012
Demonstrate compliance
0%
20%
40%
60%
80%
100%
0%
20%
40%
60%
80%
100%
0%
20%
40%
60%
80%
100%
0%
20%
40%
60%
80%
100%
0%
20%
40%
60%
80%
100%
EASA Safety Conference 2012
GASP Objectives
NEAR TERM MID TERM FAR TERM
201760% effective
implementation
2022Full SSP
implementation
2027Predictive risk modeling
Fundamental State Safety Oversight
Risk Based State Safety Management
System wide Safety
Management
Target Date
Milestone
Criteria Prioritized Compliance
Optimized Compliance
Predictive risk modeling
EASA Safety Conference 2012
Prioritized ComplianceAGA ANS OPS PEL AIR AIG LEG ORG
CE 8 Res Safety Concerns
CE 7 Surveillance
CE 6 Certification
CE 5 Tech Guidance
CE 4 Tech Staff & Training
CE 3 Organization
CE 2 Regulations
CE 1 Legislation
IMPLEM
ENT
ESTA
BLISH
EASA Safety Conference 2012
Prioritized ComplianceAGA ANS OPS PEL AIR AIG LEG ORG
CE 8 Res Safety Concerns
CE 7 Surveillance
CE 6 Certification
CE 5 Tech Guidance
CE 4 Tech Staff & Training
CE 3 Organization
CE 2 Regulations
CE 1 Legislation
IMPLEM
ENT
ESTA
BLISH
EASA Safety Conference 2012
Optimal compliance
States progressively increase compliance to an optimal level through the phased implementation of the SSP covering: Safety Policy & Objectives State Safety Risk Management State Safety Assurance State Safety Promotion
States prioritize improvements in their effective implementation through assessment of risks in their respective aviation systems
EASA Safety Conference 2012
Challenges in monitoring performance
• For States and Service Providers:– Focus on the implementation of State Safety Programme (SSP) and Safety Management Systems (SMS).
• For ICAO and the USOAP Programme– Focus on maintaining Protocol Questions as meaningful indicators of the status of implementation
EASA Safety Conference 2012
ICAO Developments
• Develop a new set of Phase‐Specific Protocol Questions to address SSP Implementation
– Divided into 4 sections and aligned to the 4 phases of SSP Implementation
• Recommended by the 3rd Edition of the Safety Management Manual (ICAO DOC 9859)
– Covers all 11 elements of SSP
EASA Safety Conference 2012
ICAO Developments
• Develop SSP related questions to be placed in State Aviation Activity Questionnaire (SAAQ)
– SAAQ is a prerequisite to an audit or ICVM activity– Answers will provide an indication in which of the four phases of SSP implementation the State is currently in.
– SAAQ will give ICAO auditors which phase‐specific PQs to use in an audit
EASA Safety Conference 2012
1.11.2(i)1.2(ii)1.31.4(i)1.4(ii)2.1(i)2.1(ii)2.2
3.1(i)3.1(ii)3.1(iii)3.2(i)3.2(ii)3.34.14.2
1.11.2(i)1.2(ii)1.31.4(i)1.4(ii)2.1(i)2.1(ii)2.2
3.1(i)3.1(ii)3.1(iii)3.2(i)3.2(ii)3.34.14.2
1.11.2(i)1.2(ii)1.31.4(i)1.4(ii)2.1(i)2.1(ii)2.2
3.1(i)3.1(ii)3.1(iii)3.2(i)3.2(ii)3.34.14.2
1.11.2(i)1.2(ii)1.31.4(i)1.4(ii)2.1(i)2.1(ii)2.2
3.1(i)3.1(ii)3.1(iii)3.2(i)3.2(ii)3.34.14.2
Example
Phase 1(12 months)
Phase 2(12 months)
Phase 3(24 months)
Phase 4(24 months)
SSP ELEM
ENTS
NEW
PQs
Phase 1, 2, 3, 4New PQs
(multiple areas)
Phase 1, 2, 3, 4New PQs
(multiple areas)
Phase 1, 2, 3, 4New PQs
(multiple areas)
Phase 1, 2, 3, 4New PQs
(multiple areas)
1.11.2(i)1.2(ii)1.31.4(i)1.4(ii)2.1(i)2.1(ii)2.2
3.1(i)3.1(ii)3.1(iii)3.2(i)3.2(ii)3.34.14.2
1.11.2(i)1.2(ii)1.31.4(i)1.4(ii)2.1(i)2.1(ii)2.2
3.1(i)3.1(ii)3.1(iii)3.2(i)3.2(ii)3.34.14.2
1.11.2(i)1.2(ii)1.31.4(i)1.4(ii)2.1(i)2.1(ii)2.2
3.1(i)3.1(ii)3.1(iii)3.2(i)3.2(ii)3.34.14.2
1.11.2(i)1.2(ii)1.31.4(i)1.4(ii)2.1(i)2.1(ii)2.2
3.1(i)3.1(ii)3.1(iii)3.2(i)3.2(ii)3.34.14.2
Phase 2(12 months)
STATE AVIATION ACTIVITY QUESTIONNAIRE
EASA Safety Conference 2012
1.11.2(i)1.2(ii)1.31.4(i)1.4(ii)2.1(i)2.1(ii)2.2
3.1(i)3.1(ii)3.1(iii)3.2(i)3.2(ii)3.34.14.2
1.11.2(i)1.2(ii)1.31.4(i)1.4(ii)2.1(i)2.1(ii)2.2
3.1(i)3.1(ii)3.1(iii)3.2(i)3.2(ii)3.34.14.2
1.11.2(i)1.2(ii)1.31.4(i)1.4(ii)2.1(i)2.1(ii)2.2
3.1(i)3.1(ii)3.1(iii)3.2(i)3.2(ii)3.34.14.2
1.11.2(i)1.2(ii)1.31.4(i)1.4(ii)2.1(i)2.1(ii)2.2
3.1(i)3.1(ii)3.1(iii)3.2(i)3.2(ii)3.34.14.2
Considerations
Phase 1(12 months)
Phase 2(12 months)
Phase 3(24 months)
Phase 4(24 months)
SSP ELEM
ENTS
NEW
PQs
Phase 1, 2, 3, 4New PQs
(multiple areas)
Phase 1, 2, 3, 4New PQs
(multiple areas)
Phase 1, 2, 3, 4New PQs
(multiple areas)
Phase 1, 2, 3, 4New PQs
(multiple areas)
1.11.2(i)1.2(ii)1.31.4(i)1.4(ii)2.1(i)2.1(ii)2.2
3.1(i)3.1(ii)3.1(iii)3.2(i)3.2(ii)3.34.14.2
1.11.2(i)1.2(ii)1.31.4(i)1.4(ii)2.1(i)2.1(ii)2.2
3.1(i)3.1(ii)3.1(iii)3.2(i)3.2(ii)3.34.14.2
1.11.2(i)1.2(ii)1.31.4(i)1.4(ii)2.1(i)2.1(ii)2.2
3.1(i)3.1(ii)3.1(iii)3.2(i)3.2(ii)3.34.14.2
1.11.2(i)1.2(ii)1.31.4(i)1.4(ii)2.1(i)2.1(ii)2.2
3.1(i)3.1(ii)3.1(iii)3.2(i)3.2(ii)3.34.14.2
Phase 2(12 months)
STATE AVIATION ACTIVITY QUESTIONNAIRE
PQ StatusNot Applicable or Not Satisfactory?
EASA Safety Conference 2012