Chapter 8: State Safety Management
This Chapter provides more detail on the State Safety Management provisions found in Annex 19, including guidance related to the implementation of SSP.
This chapter covers parts 8.1-8.7 of 4th edition of the SMM.
8.1 Introduction
In amendment 1 to Annex 19, the State safety oversight critical elements were integrated with the SSP framework to provide a streamlined set of provisions. Although the term SSP is still used in the, the meaning has changed to encompass the integrated set of SARPs found in Chapter 3. As such, the SSP is no longer described as a framework, but rather as a programme to meet the State’s safety management responsibilities, which include safety oversight.
8.2 State safety programme (SSP)
An overview of the State safety programme components is given in this section with some guidance for the delegation of tasks and functions to another State, RSOO or other competent organisation - like a trade association, industry representative organization or private body. The State retains responsibility under the Chicago Convention and as such is responsible to ensure that any delegated tasks are performed in accordance with international and national requirements.
1. Sample Contents of an SSP Document
In a similar way to SMS, a top-level SSP document that describes the SSP, together with other records, forms and procedures needs to be developed and signed by the Responsible Executive.
The SSP´s safety responsibilities, accountabilities for all the involved entities must be documented and communicated throughout the SSP document. The SSP document is key to achieving the integration of training, communication and the dissemination of related information.
Click to download:
Sample Contents of an SSP Document.docx
Source: SMM 3rd ed. 4-App 8-1. Updated to reflect Annex 19, amendment 1.
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2. State Safety Program
The document establishes the Brazilian CAA’s safety management policy and guidelines for planning and implementation of its safety related duties.
It provides an example of how to structure an SSP document to support its implementation in States with multiple agencies responsible for different aspects of civil aviation safety oversight.
Click to download:
Brazilian State Safety Programme.pdf
Source: National Civil Aviation Agency – Brazil, Aligned with Annex 19, first edition.
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3. State Safety Program
This SSP document is from the United States and includes the U.S. safety Policy. It is a complete SSP document which states how the U.S. meets ICAO requirements. This document describes how the U.S. meets the 11 ICAO SSP Framework elements and describes additional activities that will help improve the U.S. SSP and respond to future safety challenges.
Click to download:
AVP300-15U.S. State Safety Program (Version 1.0) 2015.pdf
AVP300-15-U.S. State Safety Program Revision 1 2021.pdf
Source: FAA- US, Aligned with Annex 19.
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4. State Safety Program
Below is the State Safety Programme of Ireland. This document describes the State Safety Programme for Ireland in accordance with the four components that form the fundamentals of an SSP, which also applies in chapter 7.
Click to download:
State Safety Programme of Ireland 2015.pdf
State Safety Programme of Ireland 2023.pdf
Source: Irish Aviation Authority, Ireland, Aligned with Annex 19.
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5. United Kingdom State Safety Programme
The UK State Safety Programme is now online.
Click link to access
Source: UK Civil Aviation Authority (UK CAA)
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6. Benefits of creating a regional collaborative group in establishing SSPs
The Central American Corporation for Air Navigation Services (COCESNA)* shares the experience of the Central American States on promoting the creation of regional SSP collaborative groups aimed at remediating and documenting safety deficiencies in a proactive manner. This Working Paper was presented at the Assembly-41st Session and the Assembly agreed that the information be shared on the SMI website.
*COCESNA is an International Organization for Central American Integration, non-profit and public service. COCESNA enjoys exclusive rights over the provision of Air Traffic, Aeronautical Telecommunications and Radio Aids services in the territories of the Member States and other services established in the regional plans entrusted to it by the Contracting Parties by virtue of an International Agreement and is recognized as a Regional Aviation Safety Oversight Organization (RSOO).
Click to download:
ICAO Meetings A41-Documents/WP/wp_381_en.pdf
Source: Central American Corporation for Air Navigation Services (COCESNA)
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7. COMMISSION DELEGATED REGULATION (EU) 2019/945 of 12 March 2019 on UAS and on third-country operators of UAS
Delegation of authority to EASA for UAS operation
Click to download:
Commission Delegated Regulation (EU) 2019/945 .pdf
Source: European Union Aviation Safety Agency (EASA)
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8. Thailand State Safety Programme
The main objective of the State Safety Programme (SSP) is to continuously improve civil aviation safety in Thailand through the proactive management of aviation safety risks to protect passengers and the public, promoting a positive safety culture. This can only be achieved through cooperation, collaboration, and communication between the government, its safety agencies (CAAT, AAIC, and NSARC), and with the Thai aviation industry. The SSP is intended to ensure continuous improvement in aviation safety with appropriate governance supported by data-driven decision-making.
Click link to download:
The Civil Aviation Authority of Thailand (CAAT)
8.3 Component 1: State safety policy, objectives and resources
The first SSP component defines how a State will manage safety throughout its aviation system. It includes determining the requirements, obligations, functions and activities of the different State aviation authorities related to the SSP, as well as the broad safety objectives to be achieved. The State safety policy and objectives should be documented to provide clear expectations and keep the safety management efforts of the State’s Civil Aviation Authority, and those of other State aviation authorities, focused on maintaining and improving safety performance. This enables the State to provide clear safety guidelines to support an air transportation system that is continuing to grow and becoming more complex.
The State’s legal framework dictates how aviation safety will be managed. Service providers are legally responsible for the safety of their products and services. They must be in compliance with safety regulations established by the State. The State should ensure that aviation authorities involved with the implementation and maintenance of the SSP have the necessary resources for the SSP to be implemented effectively.
1. Illustration of a Basic Safety Policy Statement
The State Safety Policy is a declaration of principles that expresses the State’s commitment to achieve and continually improve safety in all aspects of its activities.
The State Safety Policy needs to be understood, implemented and observed by all levels of the State aviation organizations.
The State Safety Policy provides criteria that has to be implemented into the service providers´ safety policies. SMM contains guidance for the development of the State Safety Policy.
Click to download:
Illustration of a Basic safety Policy Statement.docx
Source: SMM 3rd ed. 4-App 1-1. Updated to reflect Annex 19, Amendment 1.
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2. Sample State enforcement policy
According to Annex 19, Chapter 3, the State should have an enforcement policy and frameworks to enable parties to manage and resolve deviations and minor violations. The key objective of the enforcement policy is aimed at promoting compliance with aviation safety regulations and requirements through enforcement functions in an equitable manner.
This example consists of a sample State enforcement policy.
Click to download:
Sample State Enforcement Policy.docx
Source: SMM 3rd ed. 4-App 10-1. Updated to reflect Annex 19, Amendment 1.
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3. Guidance on State Enforcement Procedures in an SSP-SMS Environment
Under the State safety programme (SSP), the CAA is responsible for oversight of certificate holders operating in an SMS environment. Enforcement procedures provide guidance to those responsible for the oversight of service providers on the appropriate response to errors or violations. This example provides guidance on State enforcement procedures in an SSP-SMS environment.
Click to download:
Guidance on State Enforcement Procedures in an SSP-SMS Environment.docx
Source: SMM 3rd ed. 4-App 11-1. Updated to reflect Annex 19, Amendment 1.
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4. State Safety Policy
The document describes the Spanish Safety Policy. It is a real-life example which supplements the general example. It is available in Spanish and in English.
Click to download:
Spanish State Safety Policy. English Spanish
Source: Spanish Aviation Safety and Security Agency, Aligned with both Annex 19 edition 1 and Amendment 1.
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5. Training Program Outlined for Inspector SMS Competency and Safety Management System Inspector Competency Guidance
The training program outlined in this document focuses on developing inspector competencies for SMS oversight of regulated organizations. The scope of the training program includes prerequisites, learning objectives, topics to be covered and resources for developing training that will help build these SMS competencies. It does not include lesson plans or methods for assessing inspector SMS competencies.
The competency guidance provides core SMS competencies for inspectors tasked with accomplishing oversight activities but does not establish metrics for performance standards. Although this document only provides competencies for inspectors, the framework provided can be used to develop other competencies as needed by regulators, who should consider how these competencies fit into their overall authority level competencies.
Click to download:
Training Program Outline for Inspector SMS Competency.pdf
Safety Management System Inspector Competency Guidance.pdf
Source: Safety Management International Collaboration Group (SM ICG), Aligned with Annex 19, edition 1.
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6. State Safety Objectives
The document describes the Spanish Safety objectives. It is a real-life example which supplements the general State Safety Objectives example. It is available in Spanish and in English.
Click to download:
State Safety Objectives.pdf English Version Spanish Version
Source: Spanish Aviation Safety and Security Agency, Aligned with both Annex 19 edition 1 and Amendment 1.
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7. State Safety Programme (SSP) Enforcement Policy
Nigeria's SSP Enforcement Policy states its intent in recognising service providers who have implemented an effective SMS. Also, information on acceptable non-compliances and directives to Aviation Safety Inspectors on how to handle different categories of violations are provided. The SSP Enforcement Policy captures all the relevant elements of 'what' the enforcement policy is. It also provides motivation for service providers to implement an effective SMS and sufficient clarity to NCAA inspectors on how to handle the different categories of violations.
Click to download:
Nigeria’s State Safety Programme (SSP) Enforcement Policy.pdf
Source: Nigerian Civil Aviation Authority
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8. Aviation Enforcement-SMS and Enforcement Policy
The document illustrates the National Regulatory Enforcement Policy applied in a SMS environment and an example of enforcement policy in Canada. The strength of this example is its consistent multi-modal approach.
Click to download:
Enforcement Policy from Transport.doc
Source: Canada, Transport Canada
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9. Strategic Action Plan to Improve Aviation Safety
This five years strategic plan is the French National Aviation Safety Plan, aiming at presenting the strategic direction for safety management at national level. It identifies and gives priority to some safety issues across the different sectors of aviation.
Developed within the framework of the SSP, it takes into account ICAO's 2017-2019 Global Aviation Safety Plan (GASP), the European Plan for Aviation Safety and the results of safety risk management process at French level, but also the outcome of the previous 2009-2013 plan and was subject to a large consultation with experts and operators as well as recommendations by professionals.
Click to download:
Strategic Action Plan to Improve Aviation Safety (2018).pdf
Source: French Civil Aviation Authority, Aligned with Annex 19 amendment 1.
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10. Civil Aviation Integrated Management System
Example of the internal integrated management/risk system used by Transport Canada Civil Aviation (TCCA) to standardize business processes. Defines the 5 pillars of the IMS at a high level (Management Responsibilities, Documentation, Program Design and Delivery, Training and Evaluation). Attached are the policy (CAD QUA-001) and the IMS standard (TP 14693).
Click to download:
Source: Transport Canada
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11. Arrangements between the Investigation and Analysis Bureau (BEA) and the Civil Aviation Safety Directorate (DSAC) in France
The service contract provides for cooperation between the Investigation and Analysis Bureau (BEA) and the Civil Aviation Safety Directorate (DSAC) within this framework and more broadly within the State Safety Programme.
Click link to download:
Service contract between BEA and DSAC.docx
Source: Investigation and Analysis Bureau (BEA)
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12. Spanish Aviation Safety Law 1/2011 of 4 March which lays out the Spanish SSP
Law 1/2011 lays out the Spanish State Safety Programme for Civil Aviation. It establishes the requirements regarding: -Approval of SSP -Accountabilities and responsibilities -Obligations (public organizations and service providers) -Protection of information in SSP.
Click link to download:
Source: Spanish Aviation Safety and Security Agency
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13. Spanish Royal Decree 995/2013 of 13 December, Spanish Safety Programme regulation
This Royal Decree identifies the public, civil and military bodies, organisations and entities required by the Programme, it lays out the respective responsibilities of its application in relation to the providers of aviation products or services subject to control or oversight, it defines the duties they must perform and establishes the coordination mechanisms between them. Also specified are the duties of the superior body responsible for advancing the Programme and of the Spanish Aviation Safety and Security Agency (AESA) as the entity empowered to coordinate its implementation, execution and tracking.
Click link to download:
Source: Spanish Aviation Safety and Security Agency
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14. ANAC Brazil Safety Programme EN
The document establishes the Brazilian CAA’s safety management policy and guidelines for planning and implementation of its safety related duties.
Click link to download:
Source: National Civil Aviation Agency- Brazil (ANAC)
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15. Training Program Outline for Inspector SMS Competencies
The training program outline in this document focuses on developing inspector competencies for SMS oversight of regulated organizations. The scope of the training program outline includes prerequisites, learning objectives, topics to be covered, and resources for developing training that will help build these SMS competencies. The scope of this document does not include lesson plans or methods for assessing inspector SMS competencies.
Click link to download:
Training Program Outline for Inspector SMS Competency.pdf
Source: Safety Management International Collaboration Group (SMICG)
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16. Regional Aviation Safety Group Pan-America (RASG-PA) Procedural Handbook
The Regional Aviation Safety Group – Pan America (RASG-PA) was established in November 2008 to use the framework provided by the ICAO Global Aviation Safety Plan (GASP) and the Global Aviation Safety Roadmap (GASR) to support the establishment and operation of a performance- based aviation safety system in the Pan American Region. RASG-PA supports implementation of the ICAO GASP and complies with ICAO Council approval of Regional Aviation Safety Groups (RASGs) with the objective to address global aviation safety matters from a regional perspective. Further, the RAGS-PA supports NAM/CAR and SAM Regions in establishing objectives, priorities, indicators and the setting of measurable targets to address safety- related deficiencies in each region while ensuring consistency of action and coordination of efforts. The RASG-PA Procedural Handbook contains information on the role, organization and operation of RASG-PA. It is approved by RASG-PA and is subject to periodical review.
Click link to download:
ICAO Regional aviation safety group-Pan America (RASG-PA) procedural handbook .pdf
Source: Regional Aviation Safety Group Pan-America (RASG-PA)
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17. Enforcement Policy and Procedures
Canada's national Regulatory Enforcement Policy and procedure applied in a SMS environment.
Click link to download:
SMS-Civil Aviation Non-Compliance Event Reivew.pdf
Centre of Enforcement Expertise.docx
Source: Transport Canada
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18. Establishment of Brazilian Aviation Safety Team
ANAC Resolution 399 establishes the procedures for the Brazilian Aviation Safety Team, a collaborative environment for the exchange of safety information and best-practices among aviation authorities and industry. It is divided in four groups dealing with specific aspects of aviation safety: commercial operations, general aviation, helicopter operations and infrastructure.
Click link to download:
Source: Agência Nacional de Aviação Civil (ANAC)
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19. SMS for Aviation-A Practical Guide: Book 2 - Safety Policy and Objectives
1 of 8 booklets making up a resource kit that contains advisory material for aviation operators and organisations. This booklet provides guidance on the first component of an SMS - safety policy and objectives, for service providers to consider when implementing or updating an SMS.
Note: Other examples are being collected to demonstrate the variety of approaches in implementation of NASP.
Click link to download:
SMS 2 Safety Policy and Objectives 3rd Edition.pdf
Source: Civil Aviation Safety Authority of Australia
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20. Nepal Aviation Safety Plan
It is the national aviation safety plan prepared in accordance to GASP (2020-2022). It is considered as an example of NASP (SMM 8.3.6).
Note: Other examples are being collected to demonstrate the variety of approaches in implementation of NASP.
Click link to download:
National Aviation Safety Plan Nepal 2023 to 2025 Edition.pdf
Source: Civil Aviation Authority of Nepal
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21. State Safety Programme - JOB Analysis
The State Safety Programmes (SSP) Job Analysis was part of the development of the ICAO SSP classroom course that was designed using the Training Development Guide Competency-Based Training Methodology. It outlines each function and its related tasks and subtasks that managers and personnel within State safety agencies involved on the effective implementation and operation of SSP should perform. The set of required competencies (Knowledge/ Skills/ Attitudes) have been identified for managers/personnel in charge of the development and implementation of each SSP subtask.
Click link to download:
Source: International Civil Aviation Organization (ICAO)
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22. The European Plan for Aviation Safety
This document is an RASP equivalent to GASP/GANP at European level. Taking into account the GASP and GANP objectives, it drives the SSPs of the European Members States. The document proposes for 2019-2023 includes the following features: strategic, safety, environment objectives; SPIs; and safety promotion actions.
Click to access
Source: European Safety Aviation Agency (EASA)
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23. SSP The Netherlands Part 1 (Main document) and its related SSP Action Plan
The main document addresses all items mentioned in Annex 19, Edition 1, taking into account the latest information within ICAO Annex 19 and the SMM doc.
Click link to download:
Dutch Plan for Aviation Safety.pdf
Source: Netherlands Ministry of Infrastructure and Water Management
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24. State Safety Programme (SSP) of I.R. of Iran – 2nd Edition
This document describes the structure of the SSP and associated programmes, how the various components work together including the policies, processes and practices that are put in place by CAO IRI in line with the following ICAO SSP foundation and components. Also, the roles of CAO IRI, as the only civil aviation authority in Iran, and other entities that participate in the implementation and maintenance of the SSP are included in this document.
Click link to download:
SSP of I.R. of Iran 2nd Edition.pdf
Source: Civil Aviation Organisation, Islamic Republic of Iran
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25. United States National Aviation Safety Plan
The United States' National Aviation Safety Plan outlining what the US government manages in the national airspace system and strategic direction for the management of aviation safety across government entities.
Click link to download:
United States of America National Aviation Safety Plan.pdf
Source: United States Federal Aviation Administration (US FAA)
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26. Procedure on Acceptance of a service provider’s Safety Management System (SMS) Manual and Safety Performance Indicators (SPIs)
This procedure describes the SMS assessment methodology, and the approach to review and accept a service provider’s Safety Management System (SMS) Manual and the Safety Performance Indicator(s).
Click link to download:
Procedure on Acceptance of a service provider's SMS Manual and SPIs.pdf
Source: Civil Aviation Authority of Singapore (CAAS)
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27. List of National Aviation Safety Plans
List of NASPs (as available)
Click link to view:
Source: International Civil Aviation Organization (ICAO)
8.4 Component 2: State safety risk management
States need to anticipate potential safety risks to the aviation system. The State should augment its traditional methods of analyzing the causes of an accident or incident with proactive processes to achieve this. Proactive processes enable the State to identify and address precursors and contributors of accidents, and strategically manage safety resources to maximize safety improvements. States should:
- require that their service providers implement SMS to manage and improve the safety of their aviation-related activities;
- establish means to determine whether service providers’ safety risk management is acceptable; and
- review and ensure that the service provider’s SMS remains effective.
The State SRM component includes the implementation of SMS by service providers, including hazard identification processes and the management of associated safety risks.
States should also apply the principles of SRM to their own activities. These include activities such as the development of regulations and prioritization of surveillance activities based on assessed risk.
An area often overlooked by service providers and regulators is the safety risk induced through interfaces with other entities. The interface between SSP and SMS(s) may pose a particular interface challenge for States and service providers. The State should consider highlighting the importance of the SMS interface risk management through its regulations and supporting guidance.
1. State SMS Regulations
Annex 19 requires service providers to implement SMS. SMS guidance material should be developed, pertinent to service providers, in anticipation of or in conjunction with the development of SMS regulations.
This example provides an outline of State SMS Regulations.
Click to download:
Outline of State SMS Regulations.pdf
Source: SMM 3rd ed. 4-App 9-1. Updated to reflect Annex 19, Amendment 1.
For more information, please see the following State SMS Regulations:
AUSTRALIA – CASA SMS Legislation, regulations and guidance
NEW ZEALAND – Civil Aviation Rules – Part 100 - Safety Management.pdf
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2. SMS Regulatory Assessment Checklist
The CAA should establish a process for the acceptance of an individual service provider’s SMS to ensure that its SMS framework is congruent with the State’s SMS regulatory framework. Such initial review and acceptance may be manifested through an endorsement or acceptance of the organization’s SMS manual. When a phased SMS implementation approach is adopted by the State, such an acceptance process may be done on a phased basis where appropriate.
This example provides a sample regulatory SMS assessment checklist, which can be used for the initial assessment and acceptance of a service provider’s SMS and subsequent routine SMS assessment.
Click to download:
SMS Regulatory Assessment Checklist. MS Word and MS Excel versions
Source: SMM 3rd ed. 4-App 12-1. This checklist has not been updated to reflect Annex 19, Amendment 1.
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3. Safety Risk Management Policy
This is the safety risk management policy for the FAA. This order supports FAA safety management system and establishes requirements for how to conduct Safety Risk Management (SRM) in the FAA. It allows for cross sector safety risk assessments. It is designed for a large and complex aviation system. The previous version has been in use since 2012; this is now the latest version.
Click to download:
Source: FAA- US Aligned with Annex 19, first amendment.
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4. Implementation of Measures to Prevent Objects Falling off Airplanes
Incidents related to parts departing aircraft (PDA) is a growing concern for Japan. Objects falling off aircraft may range in size from a single small rivet to a large fan cowl doors. For this purpose, aviation national personnel and foreign airlines need to be aware of the already existing solutions to mitigate and decrease these occurrences. The responsibility falls on the manufacturers, the operators, the ground handling companies and aviation authorities to cooperate to mitigate the risk associated with PDA occurrences.
The objective of this document provided by the Civil Aviation Bureau of Japan is to make Japanese and foreign airlines as well as relevant organizations familiar with concrete measures to prevent PDA and help them strengthen activities against such occurrences. PDA can be a considerable hazard, but if the relevant organizations cooperate well, they will find solutions to mitigate associated risks.
Click to download:
Implementation of Measures to Prevent Objects Falling off Airplanes .pdf
Source: Civil Aviation Bureau of Japan
Aligned with Annex 19, edition 1.
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5. Implementing a Safety Management System in Design, Manufacturing and Maintenance Organisations
The Standard was developed to enable the aviation industry to implement a Safety Management System (SMS) consistency with the International Civil Aviation Organization’s (ICAO) Annex 19 Safety Management edition 2, appendix 2.
The latest rev. C incorporates several enhancements, including:
- Strengthening global applicability for maintenance organizations,
- Strengthening safety culture principles and providing guidance for their enablers & disablers,
- Strengthening the need to ensure independence of the staff making decisions affecting safety/airworthiness,
- Considering updated FAA Part 5 mandating SMS to TC & PC holders.
Maintenance and oversight of the Standard is the responsibility of the International SMS Standard Steering Committee.
Click link to download:
Source: AIA, AIA-B, AIAC, ASD and GAMA
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6. Guidelines for SMS Assessment
These guidelines highlight the importance of an effective assessment of the system, considering prescriptive and performance aspects. In addition, since the interaction between different service providers is intense, SMS assessment shall be harmonized between the various segments of the aviation system.
Click link to download:
Guidelines for SMS Assessment.pdf
Annex 1 SMS Assessment Tool.pdf
Source: Brazil National Civil Aviation Agency (ANAC)
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7. Accident Response Process for the Netherlands
Presentation by the Netherlands on the appropriate response by relevant Government and industry to aircraft accident.
Click link to download:
Accident Response Process for the Netherlands.pdf
Source: Ministry of Infrastructure and Water Management, Netherlands
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8. Integrated Management System (IMS) Standard Promotion Brochure
This tri-fold brochure has been developed to promote Transport Canada Civil Aviation's (TCCA) Integrated Management System (IMS) standard which has been in use internally by Transport Canada staff since 2003. It provides the framework and business principles on how TCCA is to operate. It is intended for a more mature organization.
Click link to download:
IMS Standard Promotion Brochure.pdf
Source: Transport Canada Civil Aviation (TCCA)
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9. Safety Management Regulations and Technical Standards
SMS regulations and associated technical standards.
Click link to download:
Safety Management Regulations and Technical Standards.pdf
Source: South African Civil Aviation Authority
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Please check example 1. TCCA - Integrated Risk Management Framework under section 1.4 Integrated risk management as an example of Integrated management system (SMM 8.4.7). Please check example 2. Civil Aviation Integrated Risk Management Framework – Lexicon under section 1.4 Integrated risk management.
Please check example 10. Voluntary Safety Report - Brussels Airport under section 5.2 Safety data and safety information collection as an example of Hazard identification and safety risk assessment (SMM 8.4.9).
Please check example 3. TCCA - Risk Pre-assessment Scan and Scope (PASS) tool under section 2.5 Safety risk management as an example of Management of safety risks (SMM 8.4.10).
Please check example 9. TCCA - Civil Aviation Daily Occurrence Reporting System (CADORS) Manual under section 5.2 Safety data and safety information collection as an example of Management of safety risks (SMM 8.4.10).
Please check example 12. Voluntary Disclosure Reporting Program (VDRP) under section 5.2 Safety data and safety information collection (SMM 8.4.9).
Please check example 13. FAA Hotline under section 5.2 Safety data and safety information collection (SMM 8.4.9).
Please check example 14. Service Difficulty Reporting System (SDRS) under section 5.2 Safety data and safety information collection(SMM 8.4.9).
Please check example 15. The Mandatory Occurrence Reporting Scheme – Information and Guidance under section 5.2 Safety data and safety information collection (SMM 8.4.9).
Please check example 16. Aviation Safety Reporting under section 5.2 Safety data and safety information collection.
Please check example 17. DGAC Online Safety Reporting Portal under section 5.2 Safety data and safety information collection.
8.5 Component 3: State safety assurance
State safety assurance activities aim to assure the State that their functions are achieving their intended safety objectives and targets. Service providers are required to implement safety assurance process as part of their SMS. The SMS assurance capability assures each service provider that their safety processes are functioning effectively, and they are on target to achieve their safety objectives. Similarly, State safety assurance, as part of their SSP, provide the State with assurance that its safety processes are functioning effectively and the State is on target to achieve its safety objectives via the collective efforts of the State’s aviation industry.
Surveillance activities and safety data/information collection, analysis, sharing and exchange mechanisms ensure that regulatory safety risk controls are appropriately integrated into a service provider’s SMS. This provides confidence that the system is being practiced as designed, and the regulatory controls are having the intended effect on SRM. States can collect aviation safety data/information from numerous sources, including through surveillance processes and safety reporting programmes. The data should be analyzed at various levels, and the conclusions draw from the analysis should be used as the basis for well-informed safety decision making with regard to the surveillance activities and safety in the State’s aviation system.
1. Surveillance obligations
The Application allows building risk-based inspection schedules for air operators. Start by creating a profile or look at the demo profile. When selecting a known operator, various data elements are prepopulated by the system using iSTARS data. iSTARS data is marked with a * (star) in the drop-downs. All profiles are only visible to you by default. You can share edit rights with a list of people. You can also make the profile visible to the public (read-only).
Results should be used solely to determine the minimum number of inspections. Results should not be used, either directly or indirectly, to determine required number of safety inspectors.
Click here to view
Source: ICAO
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2. Methodology of Safety Assessment for Commercial Air Transport Operators
It is a real-life example of prioritizing surveillance activities in the field of commercial air transport operators. This methodology is used to establish the prioritization of actions, including additional oversight activities as well as the necessary reallocation of resources. On the other hand, it facilitates the identification of areas susceptible to supervision, providing useful information to the oversight units for the development of their inspection tasks. It is available in Spanish and in English.
Click to download:
Source: Spanish Aviation Safety and Security Agency, Aligned with Annex 19 edition 1.
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3. Methodology for Evaluating the Safety of Air Transport Operators
This methodology is used to establish the prioritization of actions, including additional oversight activities as well as the necessary reallocation of resources. On the other hand, it facilitates the identification of areas susceptible to supervision, providing useful information to the oversight units for the development of their inspection tasks.
Click to download:
Source: Spanish Aviation Safety and Security Agency
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4. Methodology for the Safety Assessment of Aerial Work Operators
This document includes the Methodology of Safety Assessment for Aerial Works Operators. The methodology is used to establish the prioritization of actions, including additional oversight activities as well as the necessary reallocation of resources. On the other hand, it facilitates the identification of areas susceptible to supervision, providing useful information to the oversight units for the development of their inspection tasks.
Click link to download:
Source: Spanish Aviation Safety and Security Agency
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5. Methodology for the Safety Assessment of Air Traffic Services Providers
This document includes the Air Navigation Safety Assessment Methodology. The methodology is used to establish the prioritization of actions, including additional oversight activities as well as the necessary reallocation of resources. On the other hand, it facilitates the identification of areas susceptible to supervision, providing useful information to the oversight units for the development of their inspection tasks.
Click link to download:
Source: Spanish Aviation Safety and Security Agency
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6. Surveillance Program Advisory Circular
Sample of Service Provider SMS Assessment methodology.
Click link to download:
Civil Aviation Surveillance Program.pdf
Source: Transport Canada
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7. Risk-based Surveillance Guidance
Example of risk-based surveillance policy.
Click link to download:
Source: Transport Canada
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8. Guidance on the Use of Risk Indicators
This is a narrative description on how to use the National Aviation Safety Information Management System (NASIMS) tool used by Transport Canada Civil Aviation for surveillance planning. It quantifies the risk level of the service provider by accessing risk factors that determines the interval at which the service provider is to be inspected.
Click link to download:
Source: Transport Canada
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9. Management System Assessment Tool
This document provides a common assessment methodology focusing both on assessment and continual improvement of the Management.
Click link to download:
Management System Assessment Tool 2017.pdf
Management System Assessment Tool 2023.pdf
Source: European Aviation Safety Agency
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10. Good practices for Flight Data Monitoring Oversight
Objectives of FDM programmes - Regulatory environment - What to check - FDM oversight in practice - Examples of acceptable and unacceptable situations - Role of safety culture and just culture.
Click link to download:
Safety Promotion: Good Practice document.pdf
Source: European Aviation Safety Agency (EASA)
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11. SMS Evaluation Tool
The Tool has been developed by the SM ICG to be used for assessing an organization’s SMS. It is based on a series of questions to assess the SMS in terms of compliance with the regulation and its performance to effectively manage safety risk. It has been developed to enable a harmonized approach to SMS oversight globally, establishing an equivalent standard of SMS oversight internationally.
Click link to download:
Source: Safety Management International Collaborative Group (SM ICG)
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12. AMOs - Safety Risk-based Surveillance Tool
The Safety Risk Based Surveillance Tool regarding Approved Maintenance Organization (AMO) was developed to assist States in building their risk-based inspection schedules. A set of additional criteria addressing COVID-19 related risks has been integrated into this tool. An introduction to Aviation Data-Driven Decision Making (A3DM) and Safety Risk-Based Surveillance (SRBS).xlsx is also provided in this tool.
Source: International Civil Aviation Organization (ICAO)
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13. Implementation of Global Reporting Format for Runway Surface Conditions (GRF)
The document aims to provide States with guidance to apply a process to support the effective implementation of the Global Reporting Format (GRF). It is based on the Management of Change guidance, as described in the Safety Management Manual (SMM, Doc 9859) and the published Management of Change video.
Click to download:
Guidance based on management of change (MOC).pdf
Source: International Civil Aviation Organization (ICAO)
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14. Process for the Acceptance of Safety Performance Indicators (SPIs)
The process to be followed when accepting/agreeing on SPIs between the State and Service Providers.
Click link to download:
Process for the Acceptance of SPIs.pdf
Source: South African Civil Aviation Authority (SACAA)
8.6 Component 4: State safety promotion
It is the role of the State to identify appropriate and effective mechanisms for communication they believe will achieve the best results in developing a positive safety culture within the State. These mechanisms should address internal and external communication and the dissemination of information.
There are several means State organizations may adopt to convey safety communication internally, such as newsletters, bulletins, leaflets, publications, seminars, meetings, training, websites, mailing lists, publications on social media, discussions in collaboration groups, among others.
For external communication special attention may be given to solutions that reach larger audiences such as social media, mailing list bulletins, seminars, creating industry communities for the exchange of safety information, thus multiplying the messages’ outreach.
1. How to support SSP and SMS Implementation
The intent of this document is to provide examples of best practices concerning the internal and external prerequisites for implementing and promoting an effective State Safety Programme (SSP) and safety management systems (SMS). While the list is not exhaustive, it does cover many of the key areas that might require attention and review, giving readers guidance on where to begin. This example also applies to 8.7.
Click to download:
How to support a Successful SSP and SMS Implementation.pdf
Source: Safety Management International Collaboration Group (SM ICG)
Aligned with Annex 19, first edition.
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2. RASG-PA Annual Safety Report
Annual Safety Report published by RASG-PA supporting collaborative safety actions by pan American States and International Organizations.
Click link to access:
Source: Regional Aviation Safety Group-Pan-America (RASG-PA)
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3. Poster to Promote the Reporting of Safety Events
Educational Poster dedicated to the promotion of notification of safety events.
Click to download
Source: Direction Générale de L’aviation Civile (DGAC)
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4. UK Aviation Safety Review
This is an annual safety review of the safety data collected and analysed by the UK CAA and published to provide an overview and summary of our safety data to the UK Aviation industry.
Clink link to access
Source: UK Civil Aviation Authority
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5. SSP Promotion Brochure
This bi-fold document has been developed as a promotional tool describing, at a high level, Canada's SSP. Note: The name of the first SSP component is incorrect in the brochure and will be amended during the next review cycle of the product.
Click link to download:
Source: Transport Canada Civil Aviation (TCCA)
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6. SMS for Aviation-A Practical Guide: Book 5 - Safety Promotion
1 of 8 booklets making up a resource kit that contains advisory material for aviation operators and organisations. This booklet explains and provides guidance on safety promotion including training and communication which is an important part of an SMS, setting the tone for the organisation, and helping build a robust safety culture.
Click link to download:
SMS for Aviation - A Practical Guide: Book 5 - Safety Promotion 3rd Edition.pdf
Source: Civil Aviation Safety Authority of Australia
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7. Annual Safety Review (EASA)
Safety risk portfolios per domain (sector risk profiling) supported by data / statistics.
Click link to access
Source: European Safety Aviation Agency (EASA)
8.7 Component 4: SSP Implementation
When implementing an SSP, States should address the safety oversight aspects as the foundation for effective implementation. Performing an SSP gap analysis will allow the State to determine the difference between what they already have in place and what is required to have an SSP. The result of the gap analysis can then be used to develop an SSP implementation plan. When putting in place processes and activities related to SSP, States should keep in mind their system description and interfaces as well as scalability issues. The on-going assessment of the effectiveness of these processes and activities is very important to ensure that the SSP is achieving the intended results and that it is not just a document sitting on a shelf.
1. SSP implementation plan
The SSP implementation plan aims to progressively enhance the existing State safety oversight and safety management processes. The appropriate tasks / subtasks are prioritized and documented in an action plan. An SSP implementation plan, together with the SSP top-level (exposition) document, provide the ‘blueprint’ which guides the State’s journey toward effective SSP, and continuous improvement of safety performance. These two key documents should be made readily accessible to all relevant personnel to ensure everyone involved is aware of the SSP and its plans for implementation.
Click to download:
Source: SMM 3rd ed. 4-App 7-7
Updated to reflect Annex 19, Amendment 1.
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2. How to support SSP and SMS Implementation
The intent of this document is to provide examples of best practices concerning the internal and external prerequisites for implementing and promoting an effective State Safety Programme (SSP) and safety management systems (SMS). While the list is not exhaustive, it does cover many of the key areas that might require attention and review, giving readers guidance on where to begin. This example also applies to 8.6 Safety Promotion.
Click to download:
How to support a Successful SSP and SMS Implementation.pdf
Source: Safety Management International Collaboration Group (SMICG)
Aligned with Annex 19, first edition
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3. Safety Management System (SMS) Integration: Points to Consider
The intent of this document is to provide the reader with examples of best practices concerning the integration of multiple management systems within organizations. The document considers multiple scenarios relating to the integration of operating systems and does not exclusively deal with safety management systems (SMS). It does, however, cover many key areas that might require attention and review and provides the reader with advice in respect to successful systems integration.
The Concepts can also be applied to the integration of management systems at the State level. This example applies to both SSP and SMS implementation.
Click to download:
Safety Management System (SMS) Integration: Points to Consider
Source: Safety Management International Collaboration Group (SM ICG)
Aligned with Annex 19, first edition.
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4. Australia's Aviation State Safety Programme
An example of how a document detailing the roles and functions of a State Safety Programme may be structured.
Click link to access
Source: Civil Aviation Safety Authority of Australia
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5. State Safety Programme (SSP) Implementation
Plan Phase wise SSP implementation plan for Nepal.
Click link to download:
Source: Civil Aviation Authority of Nepal
Management of Change
Our aviation industry is often faced with rapid and continuous changes in air traffic. This video visualizes the process and activities for the Management of Change. It also explains its relationships to the Global Aviation Safety Plan and the Global Air Navigation Plan.